The regulatory and fiduciary landscape for personal financial planning is complex. Practitioners who practice in this discipline face a challenging regulatory maze.
SSPFPS-No. 1 provides a roadmap to traverse this maze and gives an understanding of the regulatory landscape, which is crucial to effectively practice the discipline.
In this audiovisual course, Tom Tillery discusses key areas you need to understand, and adhere to, in order to effectively provide financial planning services, including:
The regulatory landscape
Te fiduciary duty of the financial planner
Registration and licensing requirements
Professional liability and compliance requirements
Also covered are some of the laws that govern the securities industry:
Securities Act of 1933
Securities Exchange Act of 1934
Investment Company Act of 1940
Investment Advisers Act of 1940
Specialized knowledgeProgram Level:
This course is being offered by a 3rd party vendor and will not be accessible on your My CPE page. Webinar access information will be emailed directly to you by AICPA.