Critical Issues
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CFI / Eversheds 529 Plan Initiative Report Published by the National Society of Compliance Professionals
- March 1, 2019
- Posted by: giawatkins
- Categories: Critical Issues, FINRA
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NSCP Currents — the flagship publication of the National Society of Compliance Professionals — has published “Understanding FINRA’s 529 Plan Share Class Initiative,” an in-depth report co-authored by Capital Forensics and Eversheds Sutherland. Read the article HERE.
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CFI Chairman Emeritus Jay Rosen Comments on Proposed DOL Changes
- August 12, 2017
- Posted by: giawatkins
- Category: Critical Issues
Read our “Rush to Regulate” position paper, written by CFI’s Chairman Emeritus Jay Rosen, that was sent to the Department of Labor regarding proposed changes to fiduciary standards for RIAs.
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Elder Financial Abuse
- August 12, 2017
- Posted by: giawatkins
- Category: Critical Issues
The Older Americans Act of 2006 defines elder financial abuse, or financial exploitation, as “the fraudulent or otherwise illegal, unauthorized, or improper act or process of an individual, including a caregiver or fiduciary, that uses the resources of an older individual for monetary or personal benefit or profit. Read More >
