Ethical Responsibilities for CPAs: Regulatory Review

  • Friday, April 17, 2020

    4:00pm – 6:00pm
    (Registration: 3:30pm)
  • 2
    Regulatory Ethics (not DE Ethics)

This two-hour course covers the California Board of Accountancy’s two-hour regulatory review requirement. In the presentation, major topics are augmented with PowerPoint material, illustrating stories from the instructor's personal experience.

Review the provisions of the Accountancy Act and the California Board of Accountancy Regulations and become aware of ethical pitfalls that may be encountered in the practice of accounting. Review selected representative disciplinary actions, recently determined by the California Board of Accountancy, to bring awareness of some of these issues and learn to avoid them.

This course is specifically designed to meet the 2-hour Regulatory Review requirement that all licensee's must take every third license renewal period.



  • Enhance knowledge of the California Accountancy Act Rules and Regulations.
  • Educate CPA’s in public practice in California about the State Board of Accountancy Rules and Regulations and how to avoid violating them.
  • Focus on ethical areas in the everyday practice of public accounting in California.
  • Get a working knowledge of the state Board of Accountancy Rules and Regulations.


Among the topics to be discussed are:

  • The Continuing Education Requirements for CPA’s
  • Ownership of Accounting Workpapers
  • Titles and Licensing
  • The Inactive and Retired License Status
  • Rules Regarding Referral Fees and Commissions
  • Self-Reporting Requirements for CPA’s and what constitutes a reportable event
  • Audit Documentation Standards
  • Review of representative Disciplinary Actions by the State Board of Accountancy.

Additional Information

Designed For

California licensed CPAs in public and private practice.



Advanced Preparation



2.00 Regulatory Ethics (not Delaware Ethics)



Course Number


Level of Knowledge


Add to Cart

View All Courses