CPE PACKAGES (Incl. Ethics) for Multiple States and Qualifications @ $4/credit. CLICK HERE to view.

Regulatory Ethics – Clients

  • CFF
  • CFE
  • CPA (US)
  • CVA
Regulatory Ethics – Clients

1 Credit


Subject Area

Ethics (Regulatory)

Webinar Qualifies For

1 CPE credit of Ethics (Regulatory) for all CPAs

1 CPE credit for Certified Fraud Examiners (CFEs)

1 CPD credit (Verifiable) for Certified Valuation Analyst (CVA)

1 CPD credit (Verifiable) for CPA/ABV

1 CPD credit (Verifiable) for CPA/CFF

1 General Educational credit for Tax Professionals / Bookkeepers / Accountants

Upcoming Webinars

This Course is Also Available in Self Study (On-Demand)

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Course Description

CPAs many times have an opportunity to do business with clients beyond the straightforward monetary payment for legal services rendered. Sometimes clients wish to offer their CPA an ownership interest in a start-up business as payment for some services provided, or CPAs wish to acquire an interest in property owned by the client to secure payment for future fees. Sometimes a client would like to partner with their CPAs to pursue a new business opportunity, or sometimes a client simply cannot pay a bill and wishes to trade property the client owns or barter professional services for payment. Each of these situations is permissible, but all present a potential concurrent conflict of interest with a client. How to ethically navigate these conflicts is specifically regulated by regulatory ethics rules.  

Regulatory ethics is a body of law and practical political philosophy that governs the conduct of civil servants and the members of regulatory agencies. Every CPA has to follow these standards in order to complete fiduciary and professional responsibility. 

Client-related transactions serve as the focal point for this Regulatory Ethics course. This regulatory CPE ethics webinar for CPAs will cover a vast area that would help in examining potential impairments to independence, conflicts of interest, and business transactions through the lens of a CPA.

The Key Topics included in the online CPE webinar are as follows: 

  • Director Position
  • Management Responsibilities
  • Benefit Plan Administration
  • Bookkeeping, Payroll, and Other Disbursements - Independence
  • Business Risk consulting
  • Finance Consulting
  • Contingent fees – When Permitted and Not-permitted
  • Subpoenas and Summons
  • Hosting
  • Records Request

Learning Objectives

  • To recall activities performed for attest clients which may be considered an impairment of independence by CPAs in accordance with the AICPA Code of Professional Conduct.
  • To identify various threats and risks CPAs face when conducting mutual business with attest clients.
  • To recall independence impairments and responsibilities CPA’s must consider when charging contingent fees and providing hosting services.

Who Should Attend?

  • Certified Fraud Examiner
  • Certified Public Accountant
  • Certified Valuation Analysts
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Young CPA