Ep. 25 Critical Feedback Needed: Inside the Evolution of CFP Sanctions - Leo Rydzewski [General Counsel CFP Board]

In this episode Belle Osvath, CFP®, interviews Leo Rydzewski, General Counsel for the Certified Finacial Planning (CFP) Board, about the Board's proposed changes to two important documents. The Fitness Standards which govern who is eligible to hold the CFP mark and the Sanction Guidelines which provides direction on the consequences to a CFP holder that has engaged in misconduct.

Both of these documents are vital to the integrity of the CFP designation and are used by decision makers when determining the punishment for those found in violation of the Code of Ethics and Standards of Conduct.

Leo does a great job explaining what these documents contain, and why they are important. He also discusses the trial process for those who are accused of violations and who makes the decision to impose sanctions on those found guilty of misconduct.

The CFP Board is currently asking for your feedback before they officially update the documents so this is one episode you won’t want to miss!

Links:

• CFP Board of Directors Request for Comments (includes PFDs of proposed document changes and public comment feedback survey):  https://www.cfp.net/ethics/enforcement/proposed-revisions-to-sanction-guidelines-and-fitness-standards
• Leo’s LinkedIn: https://www.linkedin.com/in/leo-rydzewski-35b0144/
• Leo’s email: [e-mail]

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FPA NCA News & Events: fpanca.org

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The Smarter Planner Podcast is a product of the Financial Planning Association National Capital Area chapter (FPA NCA). All information is for educational and informational purposes only. Belle Osvath and/or the FPA NCA do not endorse or recommend any of the people, products, or services featured or discussed in this podcast.