The regulatory and fiduciary landscape for personal financial planning is complex. Individuals who want to practice in this discipline face a challenging regulatory maze. SSPFPS-No. 1 provides a roadmap to traverse this maze. Because the discipline of personal financial planning is not yet a recognized profession, anyone can say he or she provides “personal financial planning services.” Individuals who hold themselves out as “personal financial planners” are regulated based only on the products they sell or the services they offer. Therefore, an understanding of the regulatory landscape is crucial to effectively practice the discipline of personal financial planning. SSPFPS No. 1 is the starting point for the CPA financial planner faced with this dilemma.
Further, this course will discuss the regulatory landscape, the fiduciary duty of the financial planner, registration and licensing requirements, and professional liability and compliance requirements that planners must understand and adhere to, in order to effectively provide financial planning services.
Format: Voiceover PowerPoint, Audio
This course covers some of the laws that govern the securities industry, including:
CPAs and financial planners with basic knowledge of financial planning and an interest in personal financial planning