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

Regulatory Ethics - Clients

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Before starting this self study program, please go through the instructional document.


  • Director Positions as per AICPA Code of Professional Conduct
    3 mins
  • Benefit Plan Administration
    11 mins
  • Bookkeeping, Payroll, and Other Disbursement
    19 mins
  • Finance Consulting imapired
    28 mins
  • Contingent fees Permitted
    36 mins
  • Subpoenas and Summons
    42 mins
  • Records Request
    49 mins
  • Summary
    52 mins

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. In this regulatory ethics webinar for CPAs will covered 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 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

Recommended for: 

This Ethics CPE webinar for CPAs is recommended for CPAs desiring of satisfying the Regulatory Professional Ethics requirement as per the AICPA Code of Conduct.

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?

  • Accountant
  • Accounting and audit managers/practitioners
  • Accounting Firm
  • Auditors
  • Certified Fraud Examiner
  • Certified Management Accountant
  • Cloud Accountants
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • CPA in Business
  • Entrepreneurial Accountant
  • Senior Accountant
  • Staff of Accounting Firm
  • Young CPA