Professional Standards and Ethics

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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 Responsibilities in a Personal Financial Planning Practice

Guidance: The Personal Financial Planning Executive Committee has issued this Statement on Responsibilities to provide guidance to the CPA financial planner and ensure that the highest levels of integrity, professionalism, objectivity and competence are applied to the delivery of personal financial planning services so as to serve the best interests of
Published on March 24, 2011

Statement on Responsibilities in Personal Financial Planning Practice

Practice Aid: The Statements on Responsibilities in Personal Financial Planning Practice establish responsibilities in providing PFP services. They should serve as guidelines for the delivery of PFP services.
Published on January 25, 2011

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Related AICPA Products

Professional Ethics: 2012-2013 Update and Refresher

An update on new and revised ethical requirements that have been adopted or were being proposed or considered during the past year.

AICPA Professional Standards

Be sure you have the most comprehensive publication of standards applicable to non-public entities: AICPA Professional Standards. This publication is a reference of the current pronouncements on AICPA professional standards, along with a section detailing the applicability of AICPA and PCAOB standards.