包
PFS经验路径前期工作包
$99
$60.04 - $94.05
折扣:
5%了
No. 的产品: 5
CPE学分:
6
监管和受托格局
个人理财规划
CPE自学
监管和受托格局
覆盖SSPFPS-No.管理证券业的法律, 监管格局, 以及理财规划师的受托责任.
$63.20 - $99
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格式
在线
NASBA研究领域
专业知识
水平
中间
CPE学分
1.5
作者(年代)
苏珊·M. 蒂勒里，汤姆·蒂勒里
可用性
1年
产品编号
167211
视图
业务 & 合作伙伴
部分折扣
产品详细信息
This CPE course can be purchased individually or as part of the PFP实际应用证书课程.
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 监管格局, which is crucial to effectively practice the discipline.
在这个视听课程中, 汤姆Tillery discusses key areas you need to understand, 并坚持, in order to effectively provide financial planning services, 包括:
- 监管格局
- 财务规划师的受托责任
- 注册及发牌规定
- 专业责任和遵从性要求
Also covered are some of the laws that govern the securities industry:
- 1933年证券法
- 1934年证券交易法
- 1940年《投资公司法
- 1940年的投资顾问法案
学习成果
- Recognize who may provide personal financial planning services.
- Identify the how a personal financial planner is regulated.
- Select the securities Act known as the "truth in securities" law.
- Identify what constitutes compensation for a registered investment adviser.
- Recall the regulatory exclusion that exempts an adviser from registering as an investment adviser.
- Choose which government agency is tasked with the enforcement of the 1933年证券法.
信用信息
CPE学分
在线
1.5
NASBA研究领域
专业知识
水平
中间
先决条件
Basic knowledge of the areas of personal financial planning (PFP)
访问
在线
这是一个数字产品. With full paid access the content will be available to you for 1年 after purchase date.
更多信息请参考 CPE要求和NASBA赞助信息
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开始的订单作者(年代)
苏珊·M. Tillery
188bet亚洲真人体育下载网址/ PFS, AEP®(著名)
苏珊·M. Tillery, CPA/PFS, AEP® (Distinguished), is president & Paraklete®Financial, Inc .首席执行官. Paraklete® provides integrated fee-for-service personal financial planning and virtual family office services, 没有资产管理或产品销售. The firm acts as an Advocate in Financial Services® for its 客户端s with a disciplined focus on independence and objectivity. Susan is also a co-founder and president of Financial Planning Advocate, 有限责任公司, 为188bet亚洲真人体育下载网址提供继续教育的机构, 财务顾问, 大学, 和大学.
Ms. 蒂勒里在哈里斯的经历，我的首席财务官, a multi-family office w在这里 she was responsible for developing and delivering comprehensive family office solutions to affluent families, together with her work at Arthur Andersen and Ronald Blue & Co为Paraklete提供了框架. Susan earned both her bachelor’s and master’s degrees in accounting from the University of Georgia. She is a member of the American Institute of CPAs (AICPA), the Georgia Society of CPAs (GSCPA) and the Atlanta Estate Planning Council. 除了, Susan是GSCPA董事会成员, and past Chair of both the AICPA 个人理财规划 Executive Committee and the AICPA 个人理财规划 Credential Committee. Susan is the recipient of the AICPA 2019 个人理财规划 Distinguished Service Award.
Ms. Tillery is the co-author of Essentials of 个人理财规划, a textbook used by colleges and 大学 in accounting, 业务, 以及法律研究生项目. Additionally, Susan has co-authored the AICPA 个人理财规划 Certificate Program. The program addresses all areas of the Personal Financial Specialist (PFS) body of knowledge. 顺利完成课程, 有相关经验, 允许参与者获得PFS证书. Susan is a frequent speaker and author on topics relating to personal financial planning, 包括188bet亚洲真人体育下载网址和财务规划, 虚拟家族办公室, 女性面临的经济问题, 财富的责任, 慈善捐赠, 和管理工作. 苏珊和她的家人住在乔治亚州的肯尼索.
汤姆Tillery
MA Ed, MSFS, CFP®，CLU®，ChFC®，LUTCF, CRPC®
Thomas Neal Tillery, CFP®, AEP® (Distinguished), CLU®, ChFC®, CRPC®, LUTCF® is vice president & Paraklete®Financial, Inc .首席运营官. Paraklete® provides integrated fee-for-service personal financial planning and virtual family office services, 没有资产管理或产品销售. The firm acts as an Advocate in Financial Services® for its 客户端s with a disciplined focus on independence and objectivity. Tom is also a co-founder and vice president of Financial Planning Advocate, 有限责任公司, 为188bet亚洲真人体育下载网址提供继续教育的机构, 财务顾问, 大学, 和大学.
汤姆得了个M.S. in Financial Services from the American College and an M.A. in education from the Southern Baptist Theological Seminary. He is an active member of AICPA (Non-CPA Associate) and the Atlanta Estate Planning Council. With more than 30 years of experience in personal financial planning, Tom is a frequent speaker and author on topics relating to personal financial planning, including financial planning and tax advisory services, 富人的遗产规划, 当前的退休问题, 与投资顾问合作, 和管理工作.
Mr. Tillery is the co-author of Essentials of 个人理财规划, a textbook used by colleges and 大学 in accounting, 业务, 以及法律研究生项目. Additionally, Tom has co-authored the AICPA Financial Planning Certificate Program. The program addresses all areas of the Personal Financial Specialist (PFS) body of Knowledge. 顺利完成课程, 有相关经验, 允许参与者获得PFS证书. 汤姆和他的家人住在乔治亚州的肯尼索.
可访问性
The Association is dedicated to removing barriers to the accountancy profession and ensuring that all accountancy professionals and other members of the public with an interest in the profession or joining the profession, 包括残疾人士, have access to the profession and the Association's website, 教育材料, 产品, 和服务.The Association is committed to making professional learning accessible to all product users. This commitment is maintained in accordance with applicable law. 如需更多资料，请参阅 协会网站无障碍政策. As part of this commitment, this product is closed-captioned. 如需额外住宿要求，请联系 adaaccessibility@aicpa-cima.com and indicate the product that you are interested in (title, etc.) and the requested accommodation(s): Audio/Visual/Other. A member of our team will be in contact with you promptly to make sure we meet your needs appropriately.
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