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AICPACPAsGuidetoInvestmentAdviserRegistration.pdf
Guide :
The purpose of this Guide is to assist AICPA members in understanding the regulatory provisions that are applicable to investment advisers under the Investment Advisers Act of 1940 and similar laws adopted by the various States.
Published on March 14, 2011
Regulatory and Statutory Issues
Video :
Personal financial planning (PFP) is not regulated as a practice area in and of itself. However, because PFP involves providing advice in many diverse areas of your clients' lives, you face a daily barrage of regulatory and statutory issues.
Published on September 23, 2010
The CPAs Guide to Regulatory Issues in a PFP Practice
Guide :
CPAs who are providing personal financial services (including tax, estate, retirement, investment and/or insurance planning) to their clients are in an optimal position to add investment advisory services to their business. Surveys show that CPAs are ranked among the most trusted advisers. They put their client’s interest first when providing
Published on March 03, 2010
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