Ethics CPE and Training
- Independence and ethics responsibilities for your firm's consultants, especially non-CPAs who may be new to the public accounting profession.
- Auditor independence, including SEC/PCAOB/Sarbanes-Oxley regulations, GAO, DOL, banking (e.g., FDIC), and other ethical obligations.
- Ethics for tax practitioners (e.g. Circular No. 230, Statements on Standards for Tax Services, Treasury and IRC regulations).
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.
Examples of Services
In-Firm Training: Professional Ethics CPE (generic / non-state-specific)
We develop and deliver in-firm training that helps professionals meet their continuing professional education (CPE) requirements and better understand applicable ethics rules and regulations. Training qualifies for CPE in Regulatory Ethics.
In-Firm Training: State-specific Ethics
We provide state-specific, board-approved CPE in professional ethics in the following states:
In-Firm Training: Auditor Independence
We partnered with a firm's independence and learning management group to develop and present relevant content on auditor independence for a videotaped self-study course.
Personalized Training: Independence and Ethics
We can help professionals charged with independence & ethics-related duties in your firm get up to speed quickly on independence and ethics requirements, or train other groups in your firm who have specific training needs.
Cathy has worked on various ethics-related projects for the AICPA Professional Ethics Division. She is diligent, meets all deadlines and produces quality work products. I would recommend Cathy for all aspects of ethics related matters.
AICPA and Other Courses
Cathy Allen authors several CPE courses on professional ethics, auditor independence and related topics for the American Institute of Certified Public Accountants (AICPA). These courses come in many different formats, e.g., virtual webinar, text, online, and self-study, and may be purchased on the AICPA's web site using the links below:
- Ethics and Professional Conduct: Updates (4 credits, video webinar with Cathy Allen as presenter)
- Professional Ethics: 2016 Update and Refresher (2.5 credits, online self-study)
- Professional Ethics and Responsibilities in Tax Practice (2 credits, online self-study)
- Professional Ethics for CPAs in Business and Industry (2 credits, online self-study)
- Professional Ethics: The AICPA's Comprehensive Course (8 credits, online self-study/8.5 credits text self-study)
- Independence (4 credits, online self-study)
- Real World Business Ethics (13.5 credits, online self-study)
- Applying Professional Skepticism in an Audit (4.5 credits - online self-study, 4 credits - video webcast)
- A Firm's System of Quality Control (8 credits, online self-study)
Cathy Allen also developed a 2-hour professional ethics webinar entitled, Ethics: Pressures & Perceptions, hosted by CPAacademy.org.
