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个人理财服务工具包标准声明

Use these tools and guidance to know how to apply the 个人理财规划服务标准声明.

AICPA的 个人理财规划服务标准声明 (SSPFPS没有. 1), was issued to provide authoritative guidance and establish enforceable standards for members practicing in PFP. SSPFPS没有. 1于2014年1月发布，自2014年7月1日起生效. 它被修改了, 2015年1月, to reflect conforming changes necessary due to the issuance of the revised AICPA 职业行为准则, 12月15日生效, 2014.

188bet亚洲真人体育下载网址由其所在州的会计委员会颁发执照并进行监管. 此外，所有AICPA会员都必须遵循严格的 职业行为准则 这就要求他们正直行事, 客观性, 由于护理, 能力, 充分披露任何利益冲突(如存在冲突，需征得客户同意), 维护客户机密, 向客户披露任何佣金或介绍费, 并在提供金融服务时服务于公众利益. The vast majority of state boards of accountancy have adopted the AICPA 职业行为准则 within their state accountancy laws or have created their own.

在过去的三十年里, a growing number of CPAs have expanded into providing personal financial planning services to individuals and families. 遵从性工具包旨在通过检查表提供非权威性的指导, 订婚信, 以及更多的帮助遵守SSPFPS没有.1. For an overview of the challenges facing practitioners and the tools available to provide CPAs with guidance in determining whether SSPFPS没有. 1 .合规是必须的，收听这个播客 理解和应用PFP服务标准声明.

PFP服务标准声明. 1

The statement has been developed to assist in delivering personal financial planning services with 能力 and confidence. 经验丰富的, experienced practitioners and those new to the service area will benefit from having a framework to guide their work with clients in the development of their personal financial plan. 声明的框架包括以下188bet亚洲真人体育下载:

  • 一般专业职责

  • 成员在PFP约定中的责任

  • 规划PFP参与

  • 获取和分析信息

  • 制定和传达建议

  • 实现项目

  • 监控和更新约定

  • 与其他服务提供商合作

  • 使用其他服务提供商提供的建议

下载标准

PFP中的标准:遵从性工具包

为了帮助确定SSPFPS第2号的适用性.1、遵守它, 美国注册188bet亚洲真人体育下载制定了PFP标准:合规工具包, PFP组和CPA/PFS证书持有人会员资格包括哪些内容.

以下资源提供了非权威性的指导 协助遵守SSPFPS没有. 1(标准). These resources are provided to assist you in compliance with the standard but are not required.

The sample 订婚信 and checklists are intended to be customized for use in any practice format 以满足您的实践和个人约定的需要(参见“使用条款”). You should review language used in the sample 订婚信 and checklists in conjunction with reviewing requirements of the standard and add, 删除, 或者在你认为合适的时候修改.

SSPFPS合规手册

The manual addresses why SSPFPS is important to members in the protection of clients and their practice.

个人财务规划服务标准(SSPFPS)流程图

This flowchart will assist you in determining when the 个人理财规划服务标准声明 (SSPFPS) No. 我将适用于会员.

理解和应用PFP服务标准声明 | PFP learning library webcast archive

Clark Blackman and Dirk Edwards lead members through a discussion on the nature and objective of the SSPFPS and when and to whom it applies.

SSPFPS交战前检查表

This pre-engagement worksheet can help you to stay in compliance with the SSPFPS as you contemplate working with a potential client.

SSPFPS交战后检查表

The post-engagement worksheet can assist you to stay in compliance with SSPFPS and to improve your workflow.

SSPFPS文档清单

This checklist helps you to maintain evidence that you gathered needed documentation from the client to stay in compliance with SSPFPS.

一般业务约定书样本

Customize the sample engagement letter to use with your personal financial planning engagements and to assist in compliance with the SSPFPS.

实施约定书样本

Customize the sample engagement letter for implementation engagements and to assist in compliance with the SSPFPS.

监测和更新业务函样本

Customize the sample engagement letter for monitoring and updating engagements and to assist in compliance with the SSPFPS.

个人理财服务常见问题解答标准说明

Better understand PFP applicability rules and stay compliant with the 个人理财规划服务标准声明 (SSPFPS) with these FAQs.

投资咨询业务模式指南

本指南为您提供投资咨询市场的概述. 188bet亚洲真人体育下载网址在为其业务增加投资咨询服务方面处于有利地位.

个人财务规划服务合规标准幻灯片

Use this PowerPoint to educate firm professional staff on the requirements of SSPFPS and how to apply it in your practice.

致谢

个人财务规划服务小组的职责
Clark Blackman II，前任主席 PFP执行委员会及前主席-小组委员会
德克·爱德华兹，前任主席 PFP执行委员会及小组委员会主席
Richard Fohn，前任主席 PFP执行委员会
查尔斯·科瓦尔，前会员- PFP执行委员会

个人理财规划服务标准检讨专责小组
德克·爱德华兹, 椅子
南希·海德 税务实务责任委员会
安东尼•王 ppps执行委员会
大卫•麦肯锡 ppps执行委员会
威廉•Pirolli ppps执行委员会前任主席
托马斯•珀塞尔 税务实务责任委员会
诺玛·施洛克 税务实务责任委员会副主席

协会工作人员
安东尼Pugliese 高级副总裁 & 首席运营官
迈克尔•Buddendeck 总法律顾问
爱德华•卡尔 税务副总裁
詹姆斯•麦茨勒 Vice President, Small Firm Interests; Public Practice and Global Alliances
珍妮特Koger, 董事、会员 & 的认证
安德里亚·米勒 个人理财计划部高级技术经理
莎拉•布拉德利 个人理财计划部技术经理

感谢在过去二十年中做出贡献的所有志愿者和工作人员!

个人财务策划组

You'll gain additional support and access to exclusive resources when you join the AICPA's 个人财务策划组. 作为188bet亚洲真人体育下载网址, you can further demonstrate your knowledge and expertise in personal financial planning with the Personal Financial Specialist (PFS) credential.

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读者条款和条件

The Compliance Toolkit is designed to provide illustrative information with respect to the subject matter covered. 它没有建立标准或首选实践. The material was prepared by AICPA staff and volunteers and has not been considered or acted upon by the AICPA board of directors and does not represent an official opinion or position of the AICPA. It is provided with the understanding that the AICPA staff is not engaged in rendering any legal, 会计, 或其他专业服务. 如果需要法律意见或其他专家协助, 应该寻求有能力的专业人士的服务. 美国注册188bet亚洲真人体育下载不作任何陈述, 保证, 或者保证, 不承担任何责任, the content or application of the material contained herein and expressly disclaims all liability for any damages arising out of the use of, 参考, 或者对这些材料的依赖.
尽管在这些工具的开发上投入了大量的思考和努力, 它们可能会发生变化. These tools are issued as drafts only, and you retain responsibility for their final content. 请仔细查看，并根据您的具体使用情况进行必要的更改.

使用条款
Access to the Compliance Toolkit is intended as an individual benefit of PFP Section membership, 包括CPA/PFS证书持有人. The Compliance Toolkit was created by and copyrighted to the American Institute of Certified Public Accountants, 它保留所有权利. 除非是在为客户服务的时候, 繁殖, 再分配, 被授予访问权限的会员不得转载或转售本产品. Should AICPA omit or decline to enforce any aspect of these 使用条款 at any given time or instance, such non-enforcement does not constitute and should not be construed as a waiver of AICPA’s rights as to any other or future instance. 有关合规性工具包的使用条款的详细信息, 或者请求超出这些限制的使用许可, 请联系美国注册188bet亚洲真人体育下载的许可, 权利 & 信息服务组，电话:919.402.4031或透过 电子邮件.

This site is brought to you by the Association of International Certified Professional Accountants, 全球会计和金融行业的声音, founded by the American Institute of CPAs and The Chartered Institute of Management Accountants.

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