Investment Planning Process

Printer Friendly
Text Size: A A A A
Back New Search


2.0 Credits

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. Covering investing as a process and the professional environment, this two-part 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.


  • 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, Part I and Part II.
  • 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

Designed For

CPAs and financial planners with basic knowledge of, and interest in, personal financial planning.

Add to Cart