Compliance

Northwestern University Supreme Court Argument Analysis

Two expert attorneys who listened to this week’s oral arguments in Hughes v. Northwestern University say they would “rather be in Northwestern University’s shoes” than those of the plaintiffs, but the outcome of the potentially highly important case won’t be known for some months.

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.