Investment Planning Process (On-Demand) 2020

Description

Investing is often thought of as a high-risk activity by those not familiar with the investment process. Yet, risk can be managed through the investment planning process. Updated for the Tax Cuts and Jobs Act of 2017, this two-part course covers investing as a process and the professional environment. Narrated by Tom Tillery, this course examines the three phases of investment planning engagements:

Planning
Implementation
Monitoring and updating

In addition, the Statement on Standards in PFP Services (SSPFPS) No. 1, which provides the authoritative guidance and establishes enforceable standards for CPA’s and AICPA members who provide investment planning services, will be discussed and explained in this course.

Format: Voiceover PowerPoint, Audio

Learning Objectives

Recall the required elements of a compensation disclosure.
Identify the source of authoritative guidance and enforceable standards for CPAs and AICPA members who provide investment planning services.
Recognize which organizations and individuals are exempt from registration as an investment adviser.
Determine what information is required to appear on the Form ADV, Part I and Part II.
Recall the appropriate disclosure for a registered investment adviser.
Determine when registration with the Financial Industry Regulatory Authority Is required.

Major Topics

The Investment Process
Regulatory Environment
Professional Responsibilities

Provider

AICPA - Durham

Course Level

Intermediate

CPE Field of Study

Specialized Knowledge

1.5

Who Should Attend

CPAs and financial planners with basic knowledge of, and interest in, personal financial planning.

Instructor(s)

Susan Tillery Tom Tillery

Prerequisites

None.

Advanced Preparation

None.

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When

Available 24/7

Location

Online

Total CPE Credits

1.5

Format

On-Demand

$79.00

$99.00

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