Sample Engagement Letters

Overview:  Engagement letters are used to establish a formal relationship with a client. This section provides you with sample engagement letters to be used for various types of financial planning engagements
Published on January 15, 2013

Illustrations of Engagement Letter Explanations of Historical and Prospective Financial Information

Article:  Because personal financial plans can include a variety of historical or prospective financial information, the illustrative engagement letters do not describe such information. Read more about illustrative engagement letter descriptions of certain historical and prospective financial information
Published on August 22, 2011

Guide to Delivery of Personal Financial Planning (PFP) Services

Guide:  A reference for day to day issues faced in delivering PFP services. Includes engagement processes, fee arrangements, software, engagement letters, reporting recommendations, and professional liability insurance
Published on December 28, 2009

Practice Management

Overview:  ...practitioners better understand and deal with the day-to-day issues they face in delivering personal financial planning (PFP) services. Practice management topics include compensation and fee arrangements, staffing engagement letters, and reporting recommendations
Published on May 11, 2010

Guide to Delivery of Personal Financial Planning (PFP) Services

Practice Aid:  ...Services is a reference for many of the day to day issues you face in delivering personal financial planning (PFP) services. Topics include PFP engagement processes, fee arrangements, software, engagement letters, and reporting recommendations
Published on May 05, 2010

2011 Series From Tax Preparer to Financial Planner The Road Best Traveled

Webcast:  The following steps will help you transition from tax preparer to financial planner.
Published on June 12, 2013

Business Structure Plays a Key Role for CPA Planners in Business Continuity

Article:  CPAs have a variety of business structure options to choose from in building a PFP practice. Choosing the one that is right for you takes time and careful consideration.
Published on September 20, 2010

Illustrative Engagement Letter

Sample Letter:  A sample PFP engagement letter you can use with your clients. Although you should consult legal counsel before drafting any client agreements, this sample will get you started
Published on April 03, 2012

Illustrative Engagement Letter for Corporate Executives

Sample Letter:  A sample PFP engagement letter you can use with corporate executives. Although you should consult legal counsel before drafting any client agreements, this sample will get you started
Published on April 03, 2012

Illustrative Engagement Letter - Short Version

Sample Letter:  A short-form version sample PFP engagement letter you can use with your clients. Although you should consult legal counsel before drafting any client agreements, this sample will get you started
Published on April 03, 2012

Illustrative Engagement Letter Long Form

Sample Letter:  A detailed PFP engagement letter you can use with your clients. Although you should consult legal counsel before drafting any client agreements, this sample will get you started
Published on April 03, 2012

Illustrative Engagement Letter for an Investment Advisory Agreement

Sample Letter:  The following agreement is for investment advisers who manage money on a discretionary basis. However, the agreement can readily be tailored to other forms of advisory relationships whereby the adviser plays some role in managing the investments and portfolio of his or her client.
Published on September 23, 2010

Illustrative Letter for a Limited Service Engagement

Sample Letter:  A sample PFP engagement letter you can use when providing only a limited service engagement. Although you should consult legal counsel before drafting any client agreements, this sample will get you started
Published on September 20, 2010

Introduction to Personal Income Tax Planning

Article:  Income tax planning may be defined as the development and implementation of appropriate strategies to reduce, affect the timing of, or shift either current or future income tax liabilities. Recommended strategies are based not only on the tax consequences themselves, but also in light of the individual's overall financial goals.
Published on August 26, 2010

Illustrative Transmittal Letter

Sample Letter:  Once you have completed your financial plan, it is important to clearly communicate your recommendations to the client to avoid confusion or mistakes. Use this illustrative transmittal letter to help you get organized
Published on September 20, 2010