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Defensive Practice, Quality Control, and Engagement Letters for CPAs

  • Accountant
  • CPA (US)
  • CWS

Published: November, 2021

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  • Course Description
  • Course Qualification
  • Presenter
  • FAQ

Course Description


  • Introduction To Course
    10 mins
  • Technical Standards, Client Relations, And Contractual Liability
    18 mins
  • Tort Legal Liability
    40 mins
  • Tax Practice Related Services
    74 mins
  • Working Papers, Documentation and Related Matters
    110 mins
  • CPA Firm Quality Control Director
    126 mins
  • The Family Fraud
    156 mins

Course Description

Perhaps more than any profession, CPAs are held to high ethical standards. Further, these ethical standards are an intimate part of the greater body of accounting performance standards This 4-hour webinar will cover tips on conducting a defensive practice, quality control, and engagement letters for CPAs in public practice.

This Online CPE Ethics webinar focuses on the legal responsibilities of a CPA in the American civil court system. Much detail is given using the focus of the different types of engagements performed for clients by typical CPAs. Many suggestions are made from a defensive posture and specific legal protection ingredients incorporated into recommended engagement letters. There can be no absolute assurance that any particular suggestion will necessarily carry the day in a given legal dispute. Still, it seems that the worst that can happen from the inclusion of protective features in an engagement letter is that a court may strike the protective feature.

This Online CPE Webinar covers the following Major Topics:

  • Technical Standards, Client Relations, & Contractual Legal Liability.
  • Tort And Third-party Legal Liability.
  • Management Consulting and Related Engagements.
  • Tax Practice And Related Services.
  • Work Papers and Documentation.
  • CPA Firm Quality Control Director.
  • The Family Of Fraud.
  • Ten Easy Ways For A CPA To Get Sued.
  • Protective Engagement Contracts.
  • Table Of Reported Court Cases.
  • Workbook Topical Index.

Learning Objectives

  • To recognize the connection between audit quality and business risk.
  • To identify essential elements to be included in engagement letters.
  • To recall the AICPA standards and legal liabilities.
  • To recognize professional liability exposures in a tax/accounting practice.
  • To recognize the relationship of risk assessment, audit strategies, and audit responses on small audits.

Recommended For

  • This Online CPE Ethics webinar is recommended for CPAs who desire to ensure high ethical standards in their practice and engagements. 
  • This Online continuing education webinar is recommended for CPAs in accounting and tax practices who want to take proactive steps in being ethical with better quality control and engagement letters.

Who Should Attend?

  • CPA (Industry)
  • CPA - Large Firm
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • CPA in Business
  • Entrepreneurial CPA
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 4 CPE Credit of Ethics (Regulatory) for Certified Public Accountants (CPA-US)
  • 4 CE Credit for Certified Fiduciary & Investment Risk Specialist (CFIRS)
  • 4 CE Credit for Certified Wealth Strategist (CWS)
  • 4 General Credit for Accountant/Bookkeeper/Tax Professionals

Additional details

  • Course Level :
  • Credits :
  • Instructional Method :
    QAS Self Study
  • Pre-requisites :
  • Advance Preparation :


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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:


About Presenter

Jim Rigos, CPA (US)

Founder, Rigos Professional Education Programs

Jim Rigos is an attorney-CPA who has written and lectured widely in accounting, ethics, and legal topics. He graduated from Boston University Law School and has served on the AICPA's Accountants Liability committee. He is presently a National Director of the American Academy of Attorney-CPAs and chairs their national ethics and dual practice committee. 2018 is the 40th year the business has operated. He enjoys writing and teaching review courses because it adds intellectual value to the careers of young professionals. He lives in Seattle, Washington with his wife Doreen, who is also a teacher. Their daughter, Sarah, graduated from Cornell and subsequently earned an MPhil. in Comparative Government from Pembroke College, Oxford, U.K. She is now employed by the U.K. government in high tech city development

About Company

Rigos Professional Education Programs

Rigos Professional Education Programs is a leading international provider of programs designed to prepare individuals for professional legal and accounting licensing examinations such as the BAR and CPA exams. We also offer professional ethics and legal liability courses for CPAs and business enterprises. Our programs offer live classes in selected cities, in-house workshops, on-line self-study offerings, interactive delivery modes, and "blended courses."


FAQs content

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Ratings and Review


9 Ratings



Very Good









Thomas Lynch Lynch, CPA (US)

Dec 29th, 2021

It was not an easy exam.


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