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    Compensation Models

    Overview Learn about the fee versus commission compensation models for financial advisers
    Published on April 09, 2010

    Compensation and Disclosure Whitepaper

    Article Establishing compensation arrangements is one of the most troublesome issues facing CPAs providing PFP services. It is up to the CPA to individually evaluate the many issues involved in compensation and...
    Published on May 11, 2010

    Introduction to Investment Planning

    Article Investment Planning is the process of identifying and implementing effective investment strategies to create and accumulate the financial resources for achieving financial planning goals. One of the key building blocks for a successful investment advisory practice is a strong custodial relationship.
    Published on March 24, 2011

    Professional Standards and Ethics

    Overview Professional Standards and Ethics discusses the AICPA Code of Professional Conduct. The section also includes the full text of the Statements on Responsibilities in Personal Financial Planning Practice, a source of ethical guidance for financial planners.
    Published on January 12, 2008

    Practice Management

    Overview Practice Management will help 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

    Corporate-Owned Life Insurance

    FAQ of one or more of their employees. In addition to owning the policy, the corporation is also the beneficiary. Learn how COLI is used to fund nonqualified deferred compensation plans as well as tax considerations
    Published on May 10, 2010

    Introduction to Insurance and Risk Management

    Article Insurance and Risk Management Planning is the process of identifying the source and extent of an individual's risk of financial, physical, and personal loss, and developing strategies to manage the risk. Reviews help clients understand that life changes affect risk management and insurance coverage.
    Published on January 03, 2011

    Types of Business Models

    Overview PFP firms come in all shapes and sizes. View the array of business models and learn more about each of them.
    Published on September 21, 2012

    The Basics of Providing Investment Advice

    Guide Learn the basics of providing investment advice, including the the definition of Investment Adviser and SEC and state registration requirements.
    Published on February 05, 2013

    What do you do

    Assessment Navigate the regulatory minefield and compliance issues with this interactive quiz that will help you determine which business model suits you and your firm and will direct you to the applicable compliance issues and other important matters
    Published on February 18, 2010

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