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    Commissions and Referral Fees

    Professional Standards Commissions and referral fees are important issues to consider for personal financial planners and other tax professionals
    Published on March 05, 2013

    An In-Depth Review of Six Business Models

    Presentation This presentation will discuss overview of business models, investment advisory options, how to be successful with hourly/retainer fees as only source of revenue and much more
    Published on August 30, 2012

    BCG IAO Survey Results

    Survey Survey from Boston Consulting Group that found that RIAs would prefer oversight by the SEC with user fees than an SRO model
    Published on December 21, 2011

    BCG IA Oversight Economic Analysis

    Report ...Boston Consulting Group that found that establishing a SRO to oversee investment advisers would cost at least twice as much as funding an enhanced SEC examination program via user fees
    Published on December 21, 2011

    5 Reasons Why CPA Financial Planners May be Avoiding Life Insurance

    Article If you’re a planner who continues to avoid life insurance discussions with your clients, consider re-evaluating your personal objections to provide a more holistic approach.
    Published on August 18, 2014

    CPA/PFS - A Credential By Any Other Name is Not the Same

    Article An article discussing the benefits of the CPA/PFS credential.
    Published on April 16, 2014

    Illustrative Engagement Letter for an Investment Advisory Agreement

    Sample Letter The following agreement is for investment advisers who manage money on a discretionary basis. However, the agreement can readily be tailored to other forms of advisory relationships whereby the adviser plays some role in managing the investments and portfolio of his or her client.
    Published on October 28, 2004

    Guide to Developing and Managing a CPA PFP Practice

    Practice Aid The guide will lead you through a range of business processes most frequently encountered when developing and managing a CPA Personal Financial Planning practice.
    Published on July 14, 2014

    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 August 28, 2014

    Estate Tax Legislation

    News Stay up to date on legislative and regulatory issues relating to estate tax legislation.
    Published on February 09, 2015

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