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 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 August 13, 2014

    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

    Comment Letter on SSPFPS from Illinois CPA Society

    Comment Letter Comment letter on the Statement on Standards in Personal Financial Planning Services.
    Published on May 16, 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 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 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

    Comment Letter on SSPFPS from Tax EC

    Comment Letter Comment letter on the Statement on Standards in Personal Financial Planning Services.
    Published on December 11, 2013

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