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CFP Board Takes Disciplinary Hearings VirtualCFP Board Takes Disciplinary Hearings Virtual

Disciplinary hearings that historically had to be done in person or by phone can be conducted via videoconferencing, the CFP Board said.

Diana Britton, Managing Editor

May 26, 2020

1 Min Read
CFP Board office.

The CFP Board has changed its rules and procedures to allow disciplinary hearings to be conducted by videoconference on a permanent basis, in light of social distancing guidelines in place for COVID-19. The organization previously required the hearings be done by phone or in person.

The change went into effect last week.

"These amendments reflect the concerns of CFP Board and its Board of Directors for the well-being of our Disciplinary and Ethics Commission members, employees, appellants, and other stakeholders, and reflect the benefits of today's efficient technology," said Kevin R. Keller, CFP Board's CEO.

The CFP Board is currently working on new Procedural Rules that will replace its Disciplinary Rules and Procedures and Appeal Rules and Procedures.

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About the Author

Diana Britton

Managing Editor, WealthManagement.com

Diana Britton is the Managing Editor of WealthManagement.com, covering covering independent broker/dealers and RIAs from all angles. She's also the host of The Healthy Advisor, a podcast focused on advisor health and wellbeing. A native of Los Angeles, she now lives in Rocklin, Calif.