Do you want to help shape the future of your profession? If so, you need to plan on joining fellow FPA members from across the country in Washington, D.C. for the 3rd Annual FPA Advocacy Day on June 22. This…
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Proposed Minnesota Safe Seniors Financial Protection Act
As the Professional Issues Committees reported in the January newsletter, the NASAA was considering (and has now approved) guidelines for protecting seniors from exploitation by giving advisors latitude to investigate what they suspect to be fraud on a senior client…
FINRA 2016 Exam Priorities
Few things kill that holiday season buzz and tell us it is time to get back to work like the SEC’s and FINRA’s 2016 Examination Priorities Letters. For 2016, FINRA has decided to get to the heart of the regulatory…
FPA Minnesota’s 2016 Advocacy Day is Wednesday, March 9th
A reminder that Wednesday, March 9th is FPA Minnesota Advocacy Day at the State Capital in St. Paul. We will be meeting at 9:00 AM in Room 500 North in the State Office Building adjacent to the State Capital. We will…
FINRA Takes On Elder Exploitation
FPA MN’s 2016 Advocacy Day is just around the corner. We hope that you will consider joining us in St. Paul in late February/early March. If you feel there a professional issue that you think FPA MN should discuss with…
Fraudsters Have Gotten Smarter
Submitted by Karen Heintz – Professional Issues Committee Member It was not that long ago that we laughed about the fraudster emails we would get that used obviously incorrect grammar and asked us if we could help their client open…
CyberSecurity 101: Password Protection
The password management company, SplashData, annually reports on the 25 most commonly used bad passwords. It should be no surprise that the old favorite “123456” maintained the top spot as the worst password. Once again, “password” came in second. This…
Be an advocate for your business and profession
Do you want to make your voice heard issues that impact your business and profession, but don’t know where to start? FPA has developed a targeted online advocacy tool that allows you to contact your representatives and be heard as…
Business Continuity Planning
Submitted by: Scott Nelson, CFA, CFP® – Professional Issues Committee Director Last week my office experienced an internet outage. For over an hour, we were without access to our CRM or portfolio management system, not to mention email or the…
In Search of Clients’ Best Interests
The CFP Board defines a fiduciary as “one who acts in utmost good faith, in a manner he or she reasonably believes to be in the best interest of the client”. The SEC and individual states define legal investment fiduciaries…
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