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What a former SEC executive has learned about CFP Board s enforcement program

Independent Task Force on Enforcement called for CFP Board to make important reforms. The most significant recommendation was that “CFP Board should substantially increase the resources devoted to ensuring that its enforcement program is reasonably designed to achieve an appropriate level of compliance by CFP certificants with CFP [Board’s] standards of conduct.” As an outsider to the organization, I came into the role aware of the public dialogue. I didn’t know what to expect from the staff, the CEO or the board of directors. What I found was an organization committed at all levels to a well-funded, first-class enforcement program. I also found that CFP Board had already undertaken much of the work that it needed to get there.

Financial Planning - July/August 2021

Financial Planning - July/August 2021
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

COVID-19: NSITF officials evade arrest

The task force led by its Head of Media and Enlightenment, Mr Ikharo Attah, stopped the examination from holding, citing concerns over violations of COVID-19 safety protocols. However, there was resistance from the union members of NSITF, insisting that the protocols were being followed. They insisted that their General Manager, Health, Safety and Environment and other top management staff, who organised the examination would not be arrested. Some of the NSITF staff nearly mobbed a police officer, ASP Abubakar Sanni, who insisted the workers must leave the venue immediately and that the management staff should follow the task force to the Eagle Square to face a mobile court.

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