Consumer Finance
Sub-Title:
Regulatory Coverage Generally Exists for Financial Planners, but Consumer Protection Issues RemainAuthor:
Alicia Puente CackleyPublisher:
DIANE Publishing CompanyPublication Date:
04-01-2011ISBN:
9781437980264Pages:
51Subjects:
Reference BooksAvailable as:
Paperback, 9781437980264Description:
Consumers are increasingly turning for help to financial planners (FP) — individuals who help clients meet their financial goals by providing assistance with such things as selecting investments and insur. products, and managing tax and estate planning. This report examines: (1) how FP are regulated and overseen at the fed. and state levels; (2) what is known about the effectiveness of this regulation; and (3) the advantages and disadvantages of alternative regulatory approaches. To address these objectives, this report reviewed fed. and state statutes and regulations, analyzed complaint and enforcement activity, and interviewed fed. and state gov’t. entities and org. representing financial planners, and consumers. Illus. This is a print on demand report.
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