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CFP Board proposes tougher penalties for hiding misconduct

CFP Board proposes tougher penalties for hiding misconduct
investmentnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investmentnews.com Daily Mail and Mail on Sunday newspapers.

Leo Rydzewski , Kevin Keller , Tom Sporkin , Commission On , Certified Financial Planner Board Of Standards Inc , Certified Financial Planner Board , Wall Street Journal , லியோ றிய்ட்ஜெவ்ஸ்கி , கெவின் கெல்லரர் , தரகு ஆன் , சிஇஆர்டிஐஎஃப்ஐஇடி நிதி திட்டமிடுபவர் பலகை ஆஃப் தரநிலைகள் இன்க் , சிஇஆர்டிஐஎஃப்ஐஇடி நிதி திட்டமிடுபவர் பலகை , சுவர் தெரு இதழ் ,

Daily Compliance News - July 24, 2021 - The Domestic Corruption Edition | Thomas Fox

Daily Compliance News - July 24, 2021 - The Domestic Corruption Edition | Thomas Fox
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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 âCFP 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 [Boardâs] standards of conduct.â
As an outsider to the organization, I came into the role aware of the public dialogue. I didnât 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. ....

New York , United States , Tom Sporkin , Task Force On Enforcement , Task Force , Wall Street Journal , New York Attorney General , புதியது யார்க் , ஒன்றுபட்டது மாநிலங்களில் , பணி படை ஆன் அமலாக்கம் , பணி படை , சுவர் தெரு இதழ் , புதியது யார்க் வழக்கறிஞர் ஜநரல் ,

Tom Sporkin

Tom Sporkin
Managing Director, Enforcement
Tom Sporkin serves as Managing Director, Enforcement at CFP Board, the professional body for personal financial planners in the U.S. He leads a team of attorneys and legal staff in the detection, investigation and prosecution activities. Tom possesses decades of experience in enforcement and regulatory compliance, including 20 years in the SEC’s Division of Enforcement where he served in various leadership roles including co-managing the Office of Internet Enforcement, and, in the aftermath of the financial crisis, establishing and managing the Office of Market Intelligence, which included the Office of Market Surveillance and the SEC’s Whistleblower program. ....

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