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An Overview of Financial Planning – Definition, History, Regulations and Ethics

  • Accountant
  • CPA/ABV
  • CGFM
  • CMA
  • CPA (US)
  • CVA
  • CFA
  • CPA/PFS
  • ChFC
  • FSCP
  • CASL
  • ChSNC
  • RICP
  • WMCP
  • CIPM
  • CBA/MCBA
  • FPAC
  • CFIRS
  • CWS
  • Course Description
  • Course Qualification
  • Presenter
  • FAQ

Course Description

Course Description

Financial Planning is a vital part of Financial Management. Planning is the first function of management. Before embarking on any venture, the company must have a plan.

Before initiating a new business, the organization puts an immense focus on the topic of Financial Planning. Financial planning is the plan needed for estimating the fund requirements of a business and determining the sources for the same. It essentially includes generating a financial blueprint for the company’s future activities.

This CPE Finance course will discuss the various definitions of financial planning. Financial planners and those interested in performing financial planning services will understand the legislative history of the profession. It includes regulations not only for tax purposes but for asset preservation, privacy, and planning to assist a client in a position to best protect their families.

In this online Continuing Education webinar, speaker Warren Bergstein will explore the ethical standards by which planners are expected to follow and observe in all of their work.

This CPE course will prepare the audience for the next CPE courses in the series that explore the systematic process in a step approach, communication techniques needed to implement the initial plan to the client; as well as continuous monitoring of the plan.

Learning Objectives

  • To discuss the various definitions of financial planning and their application to individuals, firms, and the public.
  • To identify financial planners the significance of knowing the legislative history that made their profession so significant to their clients and the general public.
  • To analyze regulations to which planners are subject including tax, asset protection, privacy rules, and special needs of families.
  • To explore the risks involved with not planning and introduce the process of financial planning that makes the field so important and interesting.
  • To explore the ethical standards that planners must follow to remain objective and independent.
  • To identify areas of concern as regulations and standards continue to evolve and the importance of collaboration with other professionals.

Recommended For

  • The Online Continuing Education Webinar is recommended for CPAs, CVA, CBA/MCBA, ABV, CMA, CFA, CIPM, FPAC, ChFCA, CASL, ChSNC, RICP, WMCP, FSCP, CGFM, CFIRS, CWS, PFS and other Finance Professionals who want to understand the definition, history, regulations, and ethics of Financial Planning.

Who Should Attend?

  • Certificate in Investment Performance Management
  • Certified Management Accountant (CMA)
  • Certified Public Accountant (CPA)
  • Certified Valuation Analysts
  • CPA (Industry)
  • CPA - Large Firm
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Personal Financial Specialist (PFS)
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 2 General Credit of Finance for Accountant/Bookkeeper/Tax Professionals
  • 2 CPD Credit of Finance for Accredited in Business Valuation (ABV)
  • 2 CPE Credit of Finance for Certified Government Financial Manager (CGFM)
  • 2 CPE Credit for Certified Management Accountants (CMA)
  • 2 CPE Credit of Finance for Certified Public Accountants (CPA-US)
  • 2 CPE Credit of Finance for Certified Valuation Analyst (CVA)
  • 2 PL Credit of Finance for Chartered Financial Analyst (CFA)
  • 2 CPD Credit of Personal Financial Planning for Personal Financial Specialist (PFS)
  • 2 CPE Credit of Financial Planning for Chartered Financial Consultant (ChFC)
  • 2 CPE Credit of Financial Planning for Financial Services Certified Professional (FSCP)
  • 2 CPE Credit of Financial Planning for Chartered Advisor in Senior Living (CASL)
  • 2 CPE Credit of Financial Planning for Chartered Special Needs Consultant (ChSNC)
  • 2 CPE Credit of Financial Planning for Retirement Income Certified Professional (RICP)
  • 2 CPE Credit of Financial Planning for Wealth Management Certified Professional (WMCP)
  • 2 PL Credit of Finance for Certificate In Investment Performance Measurement (CIPM)
  • 2 CPE Credit of Finance for Certified Business Appraiser/Master Certified Business Appraiser (CBA/MCBA)
  • 2 CRE Credit of General finance principles and financial concepts for Certified Corporate FP&A Professional (FPAC)
  • 2 CE Credit for Certified Fiduciary & Investment Risk Specialist (CFIRS)
  • 2 CE Credit for Certified Wealth Strategist (CWS)

Additional details

  • Course Level :
    Basic
  • Credits :
    2
  • Instructional Method :
    Group Internet Based
  • Pre-requisites :
    None
  • Advance Preparation :
    None

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.

Presenter

About Presenter

Warren Bergstein, CPA, AEP©

Partner, - Adelman Katz & Mond LLP

More than forty years of practice in tax planning, estate and trust administration and planning, personal financial planning and accounting have given Warren an extraordinarily deep understanding of personal finance. At his New York City firm, Adelman, Katz & Mond LLP, his clients, who include primarily high net worth individuals, entrepreneurs and sole proprietors, benefit from his particular expertise in tax law, its applications and implications for individuals. Warren is an adjunct professor of accounting and taxation at Long Island University, New Jersey City University, and Rutgers Business School. He has spoken at the Institute of Management Accountants, both the New York and Long Island chapters of Financial Planning Association, the New York State Society of CPAs, New York University, and Lorman Educational Services. In addition, he is an accomplished author, and has regularly contributed to publications the experts rely on, like Marshall Loeb's Money Guide, Taxation for Accountants, and The CPA Journal. Warren has been very active in professional organizations, and has frequently been elected as president, board member or committee chair. Warren is a fan of local sports teams.  He also likes to read biographies and books on current events. He and his wife, Susan, live in Langhorne, PA. They have two children, Sam and Robin, and a granddaughter, Reily

About Company

- Adelman Katz & Mond LLP

akmcpa.com/

We got started in business more than 40 years ago. At fi rst we were what you might expect — the people who fi lled out the tax forms and did the fi nancial statements, etc. We were — and still are — great number crunchers. Gradually, though, our clients began relying on us more and more for advice about how to protect and grow their assets, how to make their businesses run better and even how to take some of the worry out of fi nancial decision-making. So we worked hard to get even smarter about these and other fi nancial issues. 

Our partners hold certifi cations in fi nancial planning, are on the faculties of universities in the New York metro area and possess a wide range of fi nancial and insurance licenses. And we work with a broad network of fi nancial specialists with every conceivable approach. We either know the answer — or we know who to ask; we can do what you need, or we can connect you with someone who can. We’re here for you.

Today, nearly 1,500 clients — small- and mediumsized businesses in all sectors, high net worth individuals and not-for-profi ts — consider Adelman Katz & Mond their most trusted business advisors. We’re proud of our record and the successes we’ve been able to generate for our clients. We might just be the partner you’re looking for to help with your fi nancial management issues. Call us for a free consultation. We’ll help you select the AKM CPA whose knowledge base and approach are right for you.

Faq

FAQs content

  • To receive Continuing Education credit for the event, you must register for the webcast prior to the start of each program.
  • Continuing Education Credit Certificate is available to all eligible participants within 24 hours of each webinar.
  • You must attend complete live webinar and respond to all polling questions asked during the webinar. Credits would be issued on 50 minute credit hour basis.
  • Polling feature Not supported: If you are logging in through browser or web portal in the browser (zoom.us) it doesn’t support the polling feature. Please be advised the current polling feature can only be supported via Zoom desktop and mobile app. You can check the same here : https://support.zoom.us/hc/en-us/articles/203749865-Polling-for-webinars
  • This event may be a recorded rebroadcast of a live event done in past and the instructor will be available to answer your questions during/after the webinar.
  • If you still face the polling problem please don’t panic and provide your response in the chat and we shall consider the same for processing for credits. You can download Zoom by clicking on the mentioned link : https://zoom.us/download
  • Our courses meet the global Continuing Professional Development (CPD-IES7) Standard for Chartered Accountants with International Education Standard 7 (IES 7) set by The International Federation of Accountants (IFAC), the International Accounting Education Standards Board (IAESB) and the Association of Chartered Certified Accountants (ACCA). Based on our accreditation by existing IFAC members and affiliates, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • You can manage your continuing education certificates and credits through your certificate dashboard which is available when you are logged in to your account (LOGIN)
  • As an accredited provider of Continuing Professional Education in the United States, myCPE online learning platform, courses, and webinars meet the requirements set forth by the Institute of Management Accountants (IMA), an IFAC Member Organization, as well as the National State Boards of Accountancy (NASBA) and the Institute of Internal Auditors (IIA), both IFAC Affiliates. As well as it has been approved by NASBA, Internal Revenue Service (IRS), Certified Financial Planner Board (CFP Board), California Tax Education Council (CTEC), Society of Human Resource Professional (SHRM), Human Resource Certification Institute (HRCI) and many more.Therefore, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable continuing education requirement as CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • myCPE Courses are taken by : CPA | CMA | CFE | CIA | CPA(Yellow Book)| CFP | CFA | CPA (Govt.) | EA | CRTP | MRTP | ORTP | ABV | CITP | CVA | PFS | CFF and others.

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An Overview of Financial Planning – Definition, History, Regulations and Ethics

PREMIUM

2 Credits

Subject Area

Finance

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