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PFP Regulatory and Fiduciary Landscape

 
2
Registration is Open
VSCPA Members
$79.00 Regular Registration
Nonmembers
$99.00 Regular Registration

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.

Delivery Method: Self Study
CPE Credit: Specialized knowledge
Program Level: Intermediate

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The Virginia Society of CPAs (VSCPA) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: NASBARegistry.org.

For more information regarding refund, complaint, program cancellation or other policies, visit our Registration Policies page or call (800) 733-8272.