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PFP Regulatory and Fiduciary Landscape
Personal Financial Planning
CPE Self-study

PFP Regulatory and Fiduciary Landscape

Covers SSPFPS-No.1 and the laws that govern the securities industry, the regulatory landscape, and the fiduciary duty of the financial planner.

$63.20 - $99
Do you have an AICPA or CIMA membership? Log in to apply your member discount.

Format

Online

NASBA Field of Study

Specialized Knowledge

Level

Intermediate

CPE Credits

1.5

Author(s)

Susan M. Tillery, Tom Tillery

Availability

1 year

Product Number

167211

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Product Details

This CPE course can be purchased individually or as part of the PFP Practical Applications Certificate Program.

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 the regulatory landscape, which is crucial to effectively practice the discipline.

In this audiovisual course, Tom Tillery discusses key areas you need to understand, and adhere to, in order to effectively provide financial planning services, including:

  • The regulatory landscape
  • The fiduciary duty of the financial planner
  • Registration and licensing requirements
  • Professional liability and compliance requirements

Also covered are some of the laws that govern the securities industry:

  • Securities Act of 1933
  • Securities Exchange Act of 1934
  • Investment Company Act of 1940
  • Investment Advisers Act of 1940
Learning Outcomes
  • 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 Securities Act of 1933.
Credit Info
CPE Credits
Online
1.5
NASBA Field of Study
Specialized Knowledge
Level
Intermediate
Prerequisites
Basic knowledge of the areas of personal financial planning (PFP)
Access
Online
This is a digital product. With full paid access the content will be available to you for 1 year after purchase date.
For more information, please refer to CPE requirements and NASBA sponsorship information
Pricing
Do you have an AICPA or CIMA membership? Log in to apply your member discount.
Nonmembers
Online
$99.00
AICPA Members
Online
$79.00
CIMA Members
Online
$79.00
PFP Section Members
Online
$63.20

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Author(s)
Susan M. Tillery
CPA/PFS, AEP®(Distinguished)
Susan M. Tillery, CPA/PFS, AEP® (Distinguished), is president & CEO of Paraklete® Financial, Inc. Paraklete® provides integrated fee-for-service personal financial planning and virtual family office services, without asset management or product sales. The firm acts as an Advocate in Financial Services® for its clients with a disciplined focus on independence and objectivity. Susan is also a co-founder and president of Financial Planning Advocate, LLC, which provides continuing education for CPAs, financial advisers, universities, and colleges. Ms. Tillery’s experience at Harris myCFO, a multi-family office where 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 provided the framework for Paraklete. 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. In addition, Susan is a member of the GSCPA Board of Directors, and past Chair of both the AICPA Personal Financial Planning Executive Committee and the AICPA Personal Financial Planning Credential Committee. Susan is the recipient of the AICPA 2019 Personal Financial Planning Distinguished Service Award. Ms. Tillery is the co-author of Essentials of Personal Financial Planning, a textbook used by colleges and universities in accounting, business, and law graduate programs. Additionally, Susan has co-authored the AICPA Personal Financial Planning Certificate Program. The program addresses all areas of the Personal Financial Specialist (PFS) body of knowledge. Successful completion of the program, with related experience, permits participants to obtain the PFS Credential. Susan is a frequent speaker and author on topics relating to personal financial planning, including CPAs and financial planning, virtual family offices, financial issues facing women, responsibilities of wealth, charitable giving, and stewardship. Susan and her family reside in Kennesaw, Georgia.
Tom Tillery
MA Ed, MSFS, CFP®, CLU®, ChFC®, LUTCF, CRPC®
Thomas Neal Tillery, CFP®, AEP® (Distinguished), CLU®, ChFC®, CRPC®, LUTCF® is vice president & CCO of Paraklete® Financial, Inc. Paraklete® provides integrated fee-for-service personal financial planning and virtual family office services, without asset management or product sales. The firm acts as an Advocate in Financial Services® for its clients with a disciplined focus on independence and objectivity. Tom is also a co-founder and vice president of Financial Planning Advocate, LLC, which provides continuing education for CPAs, financial advisers, universities, and colleges. Tom earned an 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, estate planning for the affluent, current retirement issues, working with investment advisors, and stewardship. Mr. Tillery is the co-author of Essentials of Personal Financial Planning, a textbook used by colleges and universities in accounting, business, and law graduate programs. 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. Successful completion of the program, with related experience, permits participants to obtain the PFS Credential. Tom and his family reside in Kennesaw, Georgia.
Accessibility

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, including those with disabilities, have access to the profession and the Association's website, educational materials, products, and services.The Association is committed to making professional learning accessible to all product users. This commitment is maintained in accordance with applicable law. For additional information, please refer to the Association's Website Accessibility Policy. As part of this commitment, this product is closed-captioned. For additional accommodation requests please contact 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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