Fiduciary Standard of Care
Overview:
Learn about the elements needed to be deemed a fiduciary.
Published on May 17, 2013
Defining a Global Fiduciary Standard of Excellence for Investment Stewards
Guide:
A handbook developed specifically for Investment Steward to serve as a foundation for prudent investment fiduciary practices. It provides investment fiduciaries with an organized process for making informed and consistent decisions.
Published on February 01, 2010
Defining a Global Fiduciary Standard of Excellence for Investment Stewards
Guide:
A handbook developed specifically for Investment Advisors to serve as a foundation for prudent investment fiduciary practices. It provides an organized process for making informed and consistent decisions.
Published on February 01, 2010
Professional Responsibilities
Overview:
An overview of the professional responsibilities and standards associated with personal financial planning services
Published on May 22, 2013
AICPA Comment Letter Regarding Regulation of RIAs
Comment Letter:
...Nov. 3, the AICPA submitted a letter to the House Financial Services Committee Chairman Spencer Bachus and Ranking Member Barney Frank regarding the regulation of investment advisers and the standard of care for broker-dealers when giving investment advice to their clients
Published on November 09, 2011
PFP Practice Management
Overview:
...information about issues that face the firm as they consider developing and managing a PFP practice. Learn more about Regulatory and Statutory Issues, Engagement Planning, Fiduciary Responsibility, and Professional Standard and Ethics
Published on May 11, 2010
General Office Productivity Tools - Office Suite
Overview:
The MS Office suite of software extends beyond word processor and spreadsheet programs. Learn the most important factors when considering the purchase of office productivity software.
Published on October 05, 2012
The Dodd-Frank Wall Street Reform and Consumer Protection Act Financial Regulatory Reform Legislation
Webcast:
Listen to Wesley Nissen discuss the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Published on September 17, 2012
Annuities Love Them or Hate Them Theyre Here to Stay
Webcast:
In this web seminar, you will hear discussion on all annuity types and why advisors have a love-hate relationship with them. You will learn about both good and poor uses and be able to identify circumstances where annuities may be suitable, and how to manage advisor bias, so that it does not
Published on May 10, 2011
Do I Need Personal Financial Planning
FAQ:
Everyone needs to plan for tomorrow. At every income level, there are steps you can take to make more efficient use of your assets and to ensure a secure financial future. To help you get started, here are some frequently asked questions about personal financial planning.
Published on May 11, 2010
What is Unique About a CPA/PFS
Overview:
The AICPA stands behind our members and the qualifications and expertise they bring to supporting their clients. CPA financial planners are part of a 125-year old highly regarded profession.
Published on March 20, 2013
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
Its Never Too Early (or Too Late) to Specialize Is a Career in Financial Planning right for you
Article:
Good with numbers? Enjoy interacting with people? Like to have a positive impact on others? Want to own your own business and gain financial independence? A career as a CPA financial planner or Personal Financial Specialist may be right for you!
Published on September 14, 2010
PFS Logo Usage Guidelines
Logo:
Including the AICPA Personal Financial Specialist (PFS) Credential logo on your individual letterhead, business cards, and other marketing materials will enhance your brand recognition as a credentialed financial planning expert and help differentiate your practice.
Published on January 28, 2011
E-Column September 14, 2010
Article:
In this E-Column, Bob makes several observations about the current regulatory environment and solicits the perspective of securities attorney and regulatory speaker, Tom Giachetti. Bob says “Most of us in the financial planning community are living in a state of constant anxiety at the moment, awaiting various regulatory shoes that
Published on September 14, 2010