Learn about the fee versus commission compensation models for financial advisers
Published on April 09, 2010
Compensation and Disclosure Whitepaper
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
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
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
Corporate-Owned Life Insurance
...life 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
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
Introduction to Insurance and Risk Management
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
The Basics of Providing Investment Advice
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
Types of Business Models
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
What do you do
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