Compliance

Learning From the CFP Board’s Latest Sanctions

While not a regulator, the Certified Financial Planner Board of Standards still keeps a close eye on its members’ conduct, and it has recently ordered sanctions against nearly two dozen advisory professionals for a variety of ethical failures.

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ESG’s Growing Influence on Proxy Voting

Due to regulatory changes and market demand, proxy voting is about to be more influenced by environmental, social and governance approaches. For plan advisers, this change could open additional client service opportunities.