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Standards in Personal Financial Planning Services: Compliance Toolkit

Publisher: AICPA
Availability: Online Access
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Are You a Personal Financial Planner? Yes, you probably are, even if you don’t think of yourself that way.

When it comes to your individual clients, it’s only natural that they come to you with their financial questions. How much do I need to save to retire comfortably? What amount is safe to withdraw from my portfolio during retirement? What’s the best way to share my estate? If you’re providing answers to these questions, even on a limited basis, then you are a personal financial planner.

This distinction will become critically important once the new Statement on Standards in Personal Financial Planning Services No. 1 (the Statement) takes effect. The Statement elevates longstanding professional principles to authoritative, enforceable guidance for personal financial planning.

To help all of our members understand the Statement’s depth, and put it into practice, we have developed the Standards in Personal Financial Planning Services: Compliance Toolkit. In the Toolkit you’ll find:

  • A compliance manual
  • A complete copy of the Statement on Standards in Personal Financial Planning Services
  • A PowerPoint presentation you can use to educate your staff
  • Checklists to use to ensure that you are in compliance with the requirements of the Statement
  • A flowchart explaining when the Statement applies
  • Sample client engagement letters (ready to use or customize in Word)
  • FAQs that explain the application of the statement in various scenarios

This Toolkit will help you prepare for the competency requirements and educate your staff about the provisions of the Statement. Implementing the Standard will raise the level of professionalism and ethical conduct within your firm—and help you advise your clients with confidence.

This toolkit is included with PFP Section, inclusive CPA/PFS credential holder, membership. Click here for information on the Personal Financial Planning (PFP) Section and the Personal Financial Specialist (PFS) Credential.
Standards in Personal Financial Planning Services: Compliance Toolkit
On-Demand 2014
Product# PFP1304M
Availability: Online Access 1 Year
For registered users only
Regular:$98.75
AICPA Member:$79.00
Your Price:$98.75
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