Audit Conduct

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Auditor Independence Webinars

Learn the fundamentals, advance your knowledge and stay current with the latest auditor independence rules. Our webinars are tailored to those who need basic, intermediate or advanced knowledge of independence rules and principles. We also offer courses for non-CPA professionals entering the profession for the first time, audit committee members and CPAs needing a refresher course.

We offer several webinars covering the AICPA, SEC/PCAOB, GAO and International (IESBA) independence rules in areas like nonattest services, hot topics (including technology-related services), financial interests, business relationships and improving independence compliance.


NASBA Registry

Audit Conduct, LLC 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 (live and Internet-based learning). 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.

See the Audit Conduct page on the NASBA National Registry of CPE Sponsors.

Upcoming

June 18, 2020
11 am ET

AICPA Independence Rules: Advisory Services

Designed for non-CPAs and non-auditors,and CPAs in need of a refresher, this webinar helps you get up-to-speed on the AICPA independence rules for providing advisory services to your firm’s attest clients. You’ll learn which services are addressed in the AICPA Code, where the lines are drawn between permitted and prohibited services and when judgment is required.

After completing this course, you will be able to:  

  • recall the AICPA’s general requirements for providing advisory services to attest clients,
  • identify additional independence rules that apply to your client, and
  • distinguish services that impair independence from those that do not pose such threats.
Credits earned:
1.5  CPE credits
Credit Note:
Who should attend:
Professionals who need to understand the AICPA independence rules for providing nonattest services to attest clients
Field of Study:
Regulatory Ethics
Prerequisites:
None
Advanced Preparation:
None
Basic
Delivery Method:
Group Internet Based
Register
June 30, 2020
12 pm ET

AICPA Independence: Nonattest Services 2

Designed for professionals building on an existing base of independence knowledge, this webinar uses case studies and illustrations to examine various types of advisory services to determine whether they would be permissible under AICPA independence rules.  

 

After completing this course, you will be able to:  

  • Identify activities that create self-review,management participation or advocacy threats to independence, and
  • Apply the conceptual framework to assess whether safeguards adequately reduce threats to independence.
Credits earned:
1.5  CPE credits
Credit Note:
Who should attend:
CPAs and others who need an in-depth knowledge of the independence rules
Field of Study:
Regulatory Ethics
Prerequisites:
Understanding of the AICPA independence rules for performing nonattest services
Advanced Preparation:
None
Intermediate
Delivery Method:
Group Internet Based
Register
July 9, 2020
1 pm ET

Improving Independence Compliance

Designed for professionals responsible for their firm's quality control over independence compliance, this webinar explores various techniques for enhancing awareness, communications and documentation of independence matters.

After completing this course, you will be able to:

• Identify ways to promote greater awareness of independence requirements, and

• Determine methods for enhancing training, communication and documentation of independence matters.

Credits earned:
1 CPE credit
Credit Note:
Who should attend:
CPAs and others responsible for their firms' quality control over auditor independence
Field of Study:
Auditing
Prerequisites:
Understanding of AICPA or other quality control standards relating to independence compliance
Advanced Preparation:
None
Intermediate
Delivery Method:
Group Internet Based
Register
July 28, 2020
1 pm ET

SEC & PCAOB Independence: Nonaudit Services 1

This webinar introduces you to the SEC and PCAOB independence rules for performing nonaudit services. You’ll learn about the general standard and other elements of SEC Rule 2-01 and the PCAOB rules for providing advisory and tax services, including requirements for communicating with clients’ audit committees about independence.  

After completing this course, you will be able to:

  • Recognize how the SEC’s general standard of independence applies to nonaudit services, and
  • Identify specific SEC and PCAOB provisions related to the performance of nonaudit services.
Credits earned:
1 CPE credit
Credit Note:
Who should attend:
CPAs and others who need current knowledge of independence requirements when providing nonaudit services to audit client subject to SEC and PCAOB independence rules
Field of Study:
Regulatory Ethics
Prerequisites:
None
Advanced Preparation:
None
Basic
Delivery Method:
Group Internet Based
Register
August 14, 2020
11 am ET

SEC & PCAOB Independence: Nonaudit Services 2

Designed for professionals adding to a base of independence knowledge, this webinar uses case studies and illustrations to examine the permissibility of consulting or tax services under the SEC and PCAOB independence rules.  

After completing this course, you will be able to:

• Apply the SEC and PCAOB independence rules and related guidance to a(n) advisory or tax engagement, and

• Identify relevant considerations in evaluating independence under the SEC’s general standard.

Credits earned:
1.5  CPE credits
Credit Note:
Who should attend:
CPAs and others who need current knowledge of the independence requirements for providing nonaudit services to audit clients under SEC and PCAOB rules
Field of Study:
Regulatory Ethics
Prerequisites:
Understanding of the SEC and PCAOB independence rules for performing nonaudit services
Advanced Preparation:
None
Intermediate
Delivery Method:
Group Internet Based
Register
August 18, 2020
2 pm ET

AICPA Independence: Hot Topics

This webinar updates you on the latest AICPA independence rules affecting your engagements (for example, leases with attest clients, hosting, cyber-security and information system services and assisting clients with new accounting standards). You’ll learn how to apply these independence interpretations using case studies and illustrations.

After completing this course, you will be able to:

• Apply the latest independence interpretations to leases with attest clients and technology-related services, and

• Distinguish between the types of permissible and impermissible assistance you may provide an attest client that is adopting a new accounting standard.

Credits earned:
1.5  CPE credits
Credit Note:
Who should attend:
CPAs and others who need a good understanding of AICPA independence rules
Field of Study:
Regulatory Ethics
Prerequisites:
Basic understanding of the AICPA independence rules
Advanced Preparation:
None
Update
Delivery Method:
Group Internet Based
Register