Susan M. Tillery, CPA/PFS, CFP® , Tom Tillery, MA Ed, MSFS, CFP®, CLU®, ChFC®, LUTCF, CRPC®

American Institute of CPA's

Investment Planning Process

Get up-to-date on the latest standards, including accounting, auditing, preparation and review.

Available format

Online ( 2020 )

Product Description

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. Updated for the Tax Cuts and Jobs Act of 2017, this two-part course covers investing as a process and the professional environment. Narrated by Tom Tillery, this 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.

  • The Investment Process
  • Regulatory Environment
  • Professional Responsibilities

  • 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

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

$ 79.20



$ 79.20

Credit info

NASBA Field of Study Specialized Knowledge
Availability: 1 year
Level Intermediate
Advanced Prepration None
Delivery Method QAS Self-Study
Course acronym PFP-INV1
Prerequisites Basic knowledge of the areas of personal financial planning (PFP)