More On Legal & Compliancefrom The Advisor's Professional Library
- Preventing and Dealing with Client Complaints Although the SEC has not provided specific guidance on how client complaints should be handled, a firms policies and procedures should provide clear direction how to do so, as neglecting complaints can exacerbate a bad situation.
- The Few and the Proud: Chief Compliance Officers CCOs make significant contributions to success of an RIA, designing and implementing compliance programs that prevent, detect and correct securities law violations. When major compliance problems occur at firms, CCOs will likely receive regulatory consequences.
Kevin Keller, CFP Board's CEO, said in a statement that hiring Crowder "builds [CFP Board's] capacity to communicate the value of working with a CFP professional. Tom Crowder's impressive consumer marketing credentials match-up perfectly with CFP Board's priorities. We are confident that he will advance the CFP certification brand as the recognized standard of excellence for personal financial planning."
In the release announcing Crowder's hiring, CFP Board says that the new managing director, marketing and business development position will help the CFP Board "enhance its mission and efforts to increase public awareness of the CFP certification brand through marketing initiatives and collaborative efforts with other organizations, including the major firms that hire or interact with CFP professionals." Crowder's core responsibilities, CFP Board says, "will be to increase the public's awareness of, preference for and use of CFP certificants, and growing the number of CFP professionals available nationwide to meet increased public demand."
Read a story about the Financial Planning Coalition's progress from the archives of InvestmentAdvisor.com.