Auditor Independence Webinars

Learn the fundamentals, advance your knowledge, and stay current with the latest auditor independence rules. Our webinars are tailored to all knowledge levels; from basic to advanced and everything in-between. Our live, interactive webinars cover the AICPA, SEC, PCAOB, GAO, and International (IESBA) independence rules in areas such as nonaudit (consulting) services, business relationships, employment, financial, and family relationships, fee arrangements, audit committee communications, 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. 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.

Upcoming

July 20, 2021
1pm ET

AICPA Independence: Financial Interests & Relationships

Professionals in public accounting firms are required to maintain their independence, by among other things, complying with AICPA independence rules related to their personal financial interests and relationships. This webinar provides an overview of the AICPA independence rules that apply to the financial interests and relationships of such professionals and their close family members. Topics explored through case studies and illustrations include direct and indirect financial interests, investments in mutual funds, 401(K) plans, loans, and bank and brokerage accounts.

After completing this course, you will be able to:    

• Recognize the types of financial interests and relationships that may impact your independence, and

• Distinguish direct from indirect financial interests.

To learn about refund, complaint, and cancellation policies, please visit www.auditconduct.com/webinars or contact us at 631.849.1779 or callen@auditconduct.com.  

Credits earned:
1.5  CPE credits
Credit Note:
Who should attend:
Professionals who need to understand how AICPA independence rules apply to their personal financial interests and relationships with an attest client
Field of Study:
Regulatory Ethics
Prerequisites:
None
Advanced Preparation:
None
PROGRAM LEVEL:
Overview
Delivery Method:
Group Internet Based
$ 50
Register
September 9, 2021
1pm ET

AICPA Independence: Employment & Business Relationships

This webinar explores the AICPA independence rules applicable to employment and business relationships between a professional and his or her close family and a public accounting firm’s attest clients. Topics examined through case studies and illustrations include simultaneous, former, and future employment with a client (or client affiliate), employment of a covered member’s family, and business relationships with attest clients and its associated persons that may impact independence.

After completing this course, you will be able to:    

• Apply AICPA independence provisions to matters involving employment with an attest client, and

• Identify the types of business relationships with an attest client that can impair independence.

To learn about refund, complaint, and cancellation policies, please visit www.auditconduct.com/webinars or contact us at 631.849.1779 or callen@auditconduct.com.  

Credits earned:
1.5  CPE credits
Credit Note:
Who should attend:
Professionals who need to understand how the AICPA independence rules apply to employment and business relationships with an attest client
Field of Study:
Regulatory Ethics
Prerequisites:
Basic understanding of AICPA independence rules
Advanced Preparation:
None
PROGRAM LEVEL:
Intermediate
Delivery Method:
Group Internet Based
$ 50
Register
September 23, 2021
1pm ET

SEC Independence: Financial Interests & Relationships

Professionals in public accounting firms are required to maintain their independence by, among other things, complying with SEC independence rules related to their personal financial interests and relationships. This webinar provides an overview of the provisions in Rule 2-01, Qualifications of Accountants, that apply to the financial interests and relationships of such professionals and their close family members. Topics explored through case studies and illustrations include direct and indirect investments, investments in mutual funds, 401(K) plans, loans, and bank and brokerage accounts.

After completing this course, you will be able to:    

• Recognize the types of financial interests and relationships that may impact your independence, and

• Distinguish direct from indirect investments.

To learn about refund, complaint, and cancellation policies, please visit www.auditconduct.com/webinars or contact us at 631.849.1779 or callen@auditconduct.com.  

Credits earned:
1.5  CPE credits
Credit Note:
Who should attend:
Professionals who need to understand how the SEC independence rules apply to their personal financial interests and relationships with audit clients.
Field of Study:
Regulatory Ethics
Prerequisites:
None
Advanced Preparation:
None
PROGRAM LEVEL:
Overview
Delivery Method:
Group Internet Based
$ 50
Register
September 30, 2021
4 pm ET

SEC Independence: Audit Committee Communications

This webinar examines the application of the Securities and Exchange Commission (SEC) and Public Company Accounting Oversight Board’s (PCAOB’s) independence rules related to auditor communication with a company’s audit committee. Topics explored through case studies and illustrations include determining matters a firm should disclose to the audit committee under PCAOB Rule 3526, Communication with Audit Committees Concerning Independence, and the information firms should provide the audit committee to achieve the objectives of services pre-approval.

After completing this course, you will be able to:

• Apply the PCAOB’s Rule 3526, Communication with Audit Committees Concerning Independence; and

• Determine the requirements related to audit committee pre-approval of the audit firm’s services.

To learn about refund, complaint, and cancellation policies, please visit www.auditconduct.com/webinars or contact us at 631.849.1779 or callen@auditconduct.com.  

Credits earned:
1 CPE credit
Credit Note:
Who should attend:
Professionals who need to understand the SEC and PCAOB independence rules related to audit committee communications
Field of Study:
Regulatory Ethics
Prerequisites:
Basic understanding of SEC and PCAOB independence rules
Advanced Preparation:
None
PROGRAM LEVEL:
Intermediate
Delivery Method:
Group Internet Based
No Fee
Register
October 7, 2021
1pm ET

AICPA Independence: New & Revised Rules

This webinar updates you on the latest new and revised AICPA independence rules affecting your firm's engagements (for example, leases, staff augmentation, information system services, and state and local government affiliates). You will learn how to apply these independence interpretations using case studies and illustrations.  

After completing this course, you will be able to:

• Apply the latest AICPA independence interpretations to staff augmentation, state and local government affiliates, and technology-related services, and

• Determine which leases with an attest client impair independence under the revised interpretation.

To learn about refund, complaint and cancellation policies, please visit www.auditconduct.com/webinars or contact us at 631.849.1779 or callen@auditconduct.com.

Credits earned:
1.5  CPE credits
Credit Note:
Who should attend:
Professionals who need to understand the new and revised AICPA independence rules
Field of Study:
Regulatory Ethics
Prerequisites:
Basic understanding of the AICPA independence rules
Advanced Preparation:
None
PROGRAM LEVEL:
Update
Delivery Method:
Group Internet Based
$ 75
Register
October 21, 2021
1:30pm ET

SEC Independence: Business Relationships

This webinar delves into the SEC independence rules on business relationships. Topics explored through case studies and illustrations include the various factors to consider when determining whether a direct or indirect business relationship with an audit client exists.

After completing this course, you will be able to:    

• Evaluate whether a direct or indirect business relationship with an audit client exists, and

• Interpret how the revised business relationship rule applies to affiliates of audit clients and associated persons and entities.  

To learn about refund, complaint, and cancellation policies, please visit www.auditconduct.com/webinars or contact us at 631.849.1779 or callen@auditconduct.com.  

Credits earned:
1.5  CPE credits
Credit Note:
Who should attend:
Professionals who need an in-depth understanding of SEC independence rules on business relationships
Field of Study:
Regulatory Ethics
Prerequisites:
Good understanding of the SEC independence rules
Advanced Preparation:
None
PROGRAM LEVEL:
Advanced
Delivery Method:
Group Internet Based
$ 85
Register