Description
Covering investing as a process and the professional environment, this two-part CPE course examines the three phases of investment planning engagements: planning, implementation, and, monitoring and updating.
Objectives
- 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.
Highlights
- The Investment Process
- Regulatory Environment
- Professional Responsibilities