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.
Learning 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.
Major Topics
The Investment Process;Regulatory Environment;Professional Responsibilities
