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Regulation and Oversight of the Financial Planning Profession

FPSB recommends three tenets to guide efforts to oversee and regulate the financial planning profession in a territory.

  1. Use of the title “financial planner” should be protected in law or regulation.
  2. Financial planners should be held to a fiduciary standard of care in law or regulation.
  3. Oversight of financial planners should be undertaken by a professional financial planning body.

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