Learn About Issues Like Evaluating Third Party Vendor Cybersecurity The Professional Issues Committee is starting a Cybersecurity Working group to help FPA members who need assistance fully grasping cybersecurity compliance regulations. These new regulations can be challenge for many smaller…
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Take the FPA Policy Survey Today
Ever wonder how your association makes decisions on policy? We don’t do it without asking you first. This is your opportunity to let FPA know what you think about policy issues affecting your profession. Please consider helping out with just…
Join the Cybersecurity Working Group and Tackle the Cyberthreats to Your Business
As thefts go, a cyberattack is not an easy thing to grasp. It doesn’t have much in common with the crimes we see on TV. No masked men, no get away cars. Instead it happens with a constant barrage of…
The SEC Is Getting Serious About Cybersecurity And So Is The Professional Issues Committee!
In August, the SEC Office of Compliance Inspections and Examinations (OCIE) released a risk alert titled Observations From Cybersecurity Examinations. This alert reviewed the OCIE’s findings from examinations of 75 firms that focused on their cybersecurity preparedness. The firms examined…
FPA Submits Comment Letter on Proposed Changes to CFP Board’s Standards of Professional Conduct
Thanks to the input of CFP® professional members of the association, the FPA Board of Directors — with the help of the FPA Member Advocacy Council (MAC) — submitted a comment letter to CFP Board on the proposed changes to…
New FINRA Rules Address Elder Exploitation
In March, FINRA published Regulatory Notice 17-11 Financial Exploitation of Seniors announcing that the SEC had approved FINRA’s proposals for addressing financial exploitation of seniors. Regulatory Notice 17-11 covers the new FINRA rule 2165 (Financial Exploitation of Specified Adults) as…
Impacts of the DOL Fiduciary Rule: How to Lawfully Advise Clients on what to do with their 401(k) Plan
This month’s Professional Issues Committee article is from its newest member, Brian Edstrom, Attorney with JUX Law Firm and former Director of Securities at the Minnesota Department of Commerce. This article should not be construed as legal advice. As with…
The DOL Fiduciary Rule is Here! Are You Compliant? FPA MN can Help!
Watch FPAMN’s video session with Professor Mercer Bullard (see 3 minute preview), securities law expert at the University of Mississippi School of Law and former SEC attorney, to get to the heart of the matter on what you have to…
The Rise of the Machines
Submitted by Scott Nelson, CFA, CFP® – Professional Issues Committee Director Robo-advice has got everybody wondering and worrying that entire industry may soon look like something out of the cartoon, The Jetsons. All this consternation led the folks at CFP…
Registration open for 4th Annual FPA Advocacy Day in Washington, DC!
Are you passionate about financial planning? Do you want to help educate federal policymakers about the profession and the important role financial planners play in the lives of their clients? If so, register now to take part in the 4th…
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