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Regulatory Ethics - Data

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


  • AICPA Code of Professional Conduct
    4 mins
  • Disclosing information to Clients
    10 mins
  • Director Responsibilites
    19 mins
  • Importance of good documentation
    27 mins
  • Risks
    35 mins
  • Policies
    42 mins
  • Storage
    47 mins
  • Summary
    50 mins

Course Description

Data is the lifeblood of business. CPAs do not only deal with the confidential client processes and information, but also with key financial and non-financial data. When client provides such data to a CPA, they expect it to be safeguarded from internal and external security threats.  As such, CPA’s must also be vigilant in safeguarding this client data according to Federal and State regulatory requirements. 

This Ethics CPE webinar for CPAs covers key considerations CPA’s should be mindful of concerning client data including:

1) Requirements for maintaining confidential client information

2) Malpractice considerations regarding data

3) Client Record Retention requirements

The key topics included in the webinar are as follows: 

  • Confidential Information 
  • Conceptual Framework for Members in Public Practice
  • Risks and Malpractice Considerations
  • Disclosing Information to Clients
  • Third-Party Service Provider
  • Record Retention systems

Learning Objectives

  • To recall actions that CPAs should undertake to remain compliant with the AICPA Confidential Client Information Rule.
  • To recall key considerations that CPAs should make when developing record retention policies.
  • To identify key characteristics of a well-designed record retention system.

Who Should Attend?

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