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    Independence and Conflicts of Interest

    Overview Learn about independence as it relates to providing investment advisory services.
    Published on April 06, 2010

    Objectivity, Integrity and Disclosure

    Guidance Under the AICPA Code of Professional Conduct, a member must maintain objectivity and integrity, shall be free of conflicts of interest, and shall not knowingly misrepresent facts
    Published on March 05, 2013

    Registration and Compliance

    Overview Investment Advisers, Investment Adviser Representatives, Broker-Dealers and Solicitors may be subject to certain SEC and state registration and compliance issues.
    Published on March 06, 2013

    PFP Tax News

    News The AICPA PFP Division works with the AICPA Congressional Affairs Team to ensure that issues impacting CPA financial planners are monitored and acted upon as needed.
    Published on April 07, 2014

    Message Points for Pension Plans of Small Businesses

    Media Outreach CPAs have an opportunity to talk to the business community about fundamental steps small companies can take to mitigate risk and reduce liability by creating a sound fiduciary process. As business advisors, CPAs encourage companies to take five fundamental steps to manage liability and pension risk more effectively.
    Published on March 29, 2011

    E-Column - March 22, 2012

    Article In this E-Column, Bob Veres reviews two videos that "illustrate the conflicts of the agency/brokerage/wirehouse advice model
    Published on March 22, 2012

    Advertising and Regulatory Examinations What CPA Financial Planners Need to Know

    Webcast Practitioners will lead you through a discussion of critical regulatory and compliance issues.
    Published on June 27, 2013

    Personal Financial Planning Consumer Content

    Overview Let us show you why the CPA/PFS may be the best financial planning advisor for you and where to locate a CPA/PFS in your area.
    Published on April 07, 2014

    Issuance of DOL Proposed Regulation on Investment Advice for Participant-Directed ERISA Plans and IRAs

    News On February 26, 2010, the US Department of Labor released a proposed regulation providing guidance on the statutory prohibited transaction exemptions to ERISA and the Internal Revenue Code (Code), which were created by the Pension Protection Act of 2006. The proposed rules replace a prior, final regulation which was withdrawn
    Published on June 29, 2010

    Statement on Standards in Personal Financial Planning Services

    Exposure Draft Information on the Statement on Standards in Personal Financial Planning Services.
    Published on April 16, 2014

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