The Truth About the CFP Board Enforcement and Disciplinary Functions

2:45 PM - 3:45 PM
Pacific Ballroom 21/22

Have you read an article claiming the CFP Board doesn’t enforce its standards? Have you received an email from a law firm suggesting you watch out because the CFP Board is being too aggressive or harsh on certificants? Is either perspective correct? Attend this session and judge for yourself; Join current CFP Board Chair Dan Moisand to learn what’s happening with CFP Board enforcement. Moisand will use real cases to show how matters are investigated, how they are decided, how sanctions are determined, and what the organization has done and is doing to improve and monitor its enforcement functions.

Learning Objectives: 

  1. Understand how the CFP Board handles complaints
  2. Learn how the CFP Board investigates cases
  3. Review how the CFP Board determines sanctions