Wealth & Risk Management Blog

William Byrnes (Texas A&M) tax & compliance articles

Posts Tagged ‘Financial plan’

NationalUnderwriter.com is celebrating throughout the month of December with two FREE Shipping offers! (No coupon necessary)

Posted by William Byrnes on December 12, 2013


NationalUnderwriter.com is celebrating throughout the month of December with two FREE Shipping offers! (No coupon necessary; links provided below.)  Also, in preparing for the new year, NationalUnderwriter.com has the book titles for January 2014 that students need!2014_tf_on_individuals_small_businesses-m_1

Now through 12/14/2013, shoppers enjoy FREE Shipping on Insurance, Finance, and Legal bookstore purchases of $100 or more at NationalUnderwriter.com!

And then, from 12/15/2013 through 12/31/2013, shoppers to enjoy FREE Shipping on any Insurance, Finance, or Legal bookstore purchase at NationalUnderwriter!

1. FREE Shipping on Insurance, Finance & Legal bookstore purchases of $100 or more through 12/14/2013 at NationalUnderwriter – ORDER NOW!
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2. FREE Shipping on any Insurance, Finance, or Legal bookstore purchase from 12/15/2013 through 12/31/2013 at NationalUnderwriter – ORDER NOW!
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3. “The Tools & Techniques of Investment Planning, 3rd Edition” (SKU: 2730003) IN STOCK at NationalUnderwriter – ORDER NOW!
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10. “The Process of Financial Planning: Developing a Financial Plan, 2nd Edition” (SKU: 7190002B) IN STOCK at NationalUnderwriter – ORDER NOW!
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SEC Okays CFP Board’s Request to Dig into Applicants’ Backgrounds

Posted by William Byrnes on August 24, 2011


Cerftified Financial Planners (“CFPs”) and CFP applicants can longer hide their discplinary history behind the shield of client confidentiality. At the request of the Certified Financial Planner Board of Standards, Inc. (“CFP Board”), the Securities and Exchange Commission (“SEC”) issued a no action letter that gives brokers and advisors unlimited discretion to share customer complaint information with the Board without fear of reprisal from the SEC. The no action letter eradicates advisors’ ability to assert client confidentiality as a justification for not disclosing customer complaint information to the CFP, giving the Board free-reign to scour members’ backgrounds.

Read this complete analysis of the impact at AdvisorFX (sign up for a free trial subscription with full access to all of the planning libraries and client presentations if you are not already a subscriber)

For previous coverage of the financial planning industry in Advisor’s Journal, see Wall Street Reform Act Mandates Study of Financial Planning Industry (CC 10-73).

For in-depth analysis of financial planning concepts, see Advisor’s Main Library: A – The Need For Financial Planning.

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SEC Okays CFP Board’s Request to Dig into Applicants’ Backgrounds

Posted by William Byrnes on August 22, 2011


The dynamics of the confidentiality is enduring change. Certified Financial Planners (“CFPs”) and CFP applicants can no longer hide their disciplinary histories from the CFP Board under the shield of client confidentiality. At the request of the Certified Financial Planner Board of Standards, Inc. (“CFP Board”), the Securities and Exchange Commission (“SEC”) issued a no action letter that gives brokers and advisors the  to share customer complaint information with the Board without fear of reprisal from the SEC. The no action letter removes advisors’ ability to maintain client confidentiality as a justification for not disclosing customer complaint information to the CFP, giving the Board free-reign to scour members’ backgrounds.

What impact will this heightened need for disclosure have on the advisor- client relationship?

Read this complete analysis of the impact at AdvisorFX (sign up for a free trial subscription with full access to all of the planning libraries and client presentations if you are not already a subscriber)

For previous coverage of the financial planning industry in Advisor’s Journal, see Wall Street Reform Act Mandates Study of Financial Planning Industry (CC 10-73).

For in-depth analysis of financial planning concepts, see Advisor’s Main Library: A – The Need For Financial Planning.

Posted in Wealth Management | Tagged: , , , , , , , | Leave a Comment »

 
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