Professional Standards and Ethics

Professional Standards and Ethics 

This section discusses the AICPA Code of Professional Conduct, featuring such topics as allowable compensation methods and reporting standards that apply when personal financial planning services include historical or prospective financial information. 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.

 

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Statement on Standards in PFP Services FAQs

FAQ These FAQs provide answers to commonly asked questions practitioners may have with regard to determining applicability of and compliance with the Statement.
Published on October 30, 2015

Statement on Standards in Personal Financial Planning Services

Professional Standards SSPFPS provides authoritative guidance and establishes enforceable standards for members who provide PFP services to assist them in fulfilling their professional responsibilities.
Published on March 19, 2015

Preparing for the New Standards in Personal Financial Planning

Template This sample article is for use by CPA state societies to help members prepare to implement the Statement on Standards in PFP Services in practice.
Published on May 20, 2014

Standards in Personal Financial Planning Services

Presentation Use this PowerPoint to educate firm professional staff on the requirements of SSPFPS and how to apply it in your practice.
Published on May 13, 2014

Sample Letter for Monitoring and Updating Engagements

Sample Letter Customize these sample letters to use for your personal financial planning engagements and to assist in compliance with the SSPFPS.
Published on March 14, 2014

Sample Letter for Implementation Engagement

Sample Letter Customize these sample letters to use for your personal financial planning engagements and to assist in compliance with the SSPFPS.
Published on March 14, 2014

Sample Engagement Letter - General

Sample Letter Customize these sample letters to use for your personal financial planning engagements and to assist in compliance with the SSPFPS.
Published on March 14, 2014

Post-Engagement Checklist

Checklist Use these checklists to assist in compliance with SSPFPS and to improve workflow.
Published on February 21, 2014

SSPFPS Compliance Manual

Guide The manual addresses why SSPFPS is important to members in the protection of clients and their practice. It describes how it aligns with the AICPA Code of Professional Conduct and introduces when SSPFPS applies.
Published on January 16, 2014

SSPFPS Flowchart

Assessment Use this flowchart to assist you in determining when the Statement will apply.
Published on January 16, 2014

SSPFPS Checklist Pre-Engagement

Checklist Use these checklists to assist in compliance with SSPFPS and to improve workflow.
Published on January 16, 2014

SSPFPS Checklist Documentation

Checklist Use these checklists to assist in compliance with SSPFPS and to improve workflow.
Published on January 16, 2014

PFP Standards Exposure Draft Log

Tools The PFP Executive Committee responded to the comment letters received on the Statement on Standards in PFP Services.
Published on January 06, 2014

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