Independence and Conflicts of Interest
Learn about independence as it relates to providing investment advisory services.
Published on April 06, 2010
Objectivity, Integrity and Disclosure
Under the AICPA Code of Professional Conduct, a member must maintain objectivity and integrity, shall be free of conflicts of interest, and shall not knowingly misrepresent facts
Published on March 05, 2013
Registration and Compliance
Investment Advisers, Investment Adviser Representatives, Broker-Dealers and Solicitors may be subject to certain SEC and state registration and compliance issues.
Published on March 06, 2013
PFP Tax News
The AICPA PFP Division works with the AICPA Congressional Affairs Team to ensure that issues impacting CPA financial planners are monitored and acted upon as needed.
Published on March 03, 2014
Message Points for Pension Plans of Small Businesses
CPAs have an opportunity to talk to the business community about fundamental steps small companies can take to mitigate risk and reduce liability by creating a sound fiduciary process. As business advisors, CPAs encourage companies to take five fundamental steps to manage liability and pension risk more effectively.
Published on March 29, 2011
E-Column - March 22, 2012
In this E-Column, Bob Veres reviews two videos that "illustrate the conflicts of the agency/brokerage/wirehouse advice model
Published on March 22, 2012
Personal Financial Planning Consumer Content
Let us show you why the CPA/PFS may be the best financial planning advisor for you and where to locate a CPA/PFS in your area.
Published on January 17, 2014
Advertising and Regulatory Examinations What CPA Financial Planners Need to Know
Practitioners will lead you through a discussion of critical regulatory and compliance issues.
Published on June 27, 2013
Issuance of DOL Proposed Regulation on Investment Advice for Participant-Directed ERISA Plans and IRAs
On February 26, 2010, the US Department of Labor released a proposed regulation providing guidance on the statutory prohibited transaction exemptions to ERISA and the Internal Revenue Code (Code), which were created by the Pension Protection Act of 2006. The proposed rules replace a prior, final regulation which was withdrawn
Published on June 29, 2010
Learn about the fee versus commission compensation models for financial advisers.
Published on April 09, 2010