Investment Planning Process

Overview

This CPE course can be purchased individually or as part of the Investment Planning Certificate Program.

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.

Enhanced On-Demand Format

This on-demand format utilizes a slide deck format, enhanced with narration and interactive exercises that are designed to increase the level of engagement and hands-on application. Drag and drop exercises, case studies, and interactive diagrams are some examples of the interactive exercises that are used to supplement traditional instruction in this learning experience.

Highlights

Key Topics

• The Investment Process
• Regulatory Environment
• Professional Responsibilities

Prerequisites

Basic knowledge of the areas of personal financial planning (PFP)

Objectives

Learning Outcomes

• 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
• Recall the appropriate disclosure for a registered investment adviser.
• Determine when registration with the Financial Industry Regulatory Authority Is required.