Michael P. Shaw joined CFP Board in August 2007 as Managing Director of Professional Standards and Legal.
He coordinates the Professional Standards department’s investigative and enforcement responsibilities with the adjudicatory function of CFP Board’s Disciplinary and Ethics Commission to ensure that CFP® professionals adhere to the high standards of ethical conduct established in CFP Board’s Standards of Professional Conduct. Mr. Shaw also manages the work of CFP Board’s legal department, oversees the enforcement and protection of the organization’s intellectual property, including its CFP® certification marks, and serves as Corporate Secretary of the organization.
Before joining CFP Board, Mr. Shaw worked at NASD (now known as the Financial Industry Regulatory Authority or FINRA), where he held positions of progressive responsibility, including an appointment as Senior Counsel in the Office of Regulatory Policy. He also served as Counsel at Monumental Life Insurance Company, a division of AEGON, and is a former Northwestern Mutual® agent. He holds a bachelor’s degree in Economics from Marquette University and a law degree from the Catholic University of America in Washington, DC. He is licensed to practice law in the state of Maryland and the District of Columbia and has earned the designations Chartered Financial Consultant (ChFC), Chartered Life Underwriter (CLU) and Certified Regulatory Compliance Professional (CRCP). He formerly held the Series 7 securities license, and life and health licenses.