A Publication Dedicated to Enforcement and Compliance
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October 2017
Update to the Enforcement Resource Guide We recently added sample preissuance review process documentation to Module 9 of the Enforcement Resource Guide. View the guide here. Access is limited to current accountancy board members. Please contact Suzanne Wasner swasner@nasba.org to obtain log in credentials. -read more-
New Improved Quarterly Report In July and September, NASBA released to Executive Directors the Quarterly Enforcement Report for the second and third quarters of 2017. The report compiles information from federal agencies regarding disciplinary and enforcement matters involving CPAs or CPA firms that might be of interest to boards. It includes information gathered from SEC Accounting & Auditing Enforcement Reports and Litigation Releases, IRS Bulletins, PCAOB Disciplinary Reports, and AICPA websites and publications.-read more-
PTIN Lists Now Available Online In the past, NASBA has obtained the current Preparer Tax Identification Number (PTIN) listing from the Internal Revenue Service (IRS) through a Freedom of Information Act (FOIA) request each year. In turn, we provided each board with the listing data for its individual state, to support its enforcement efforts. Credentials in the PTIN listings are self-reported, so boards can use the PTIN data to cross-check for unlicensed practitioners holding out as certified public accountants.-read more-
Meet ERC Chair E.Kent Smoll E. Kent Smoll is the current Chair of the Enforcement Resources Committee and a Director at Large for NASBA . Smoll has been part of the association for over 20 years, serving in various capacities, including as member of the Kansas Board of Accountancy and as a member of NASBA’s Alternative Practice Structure Committee, President’s Search Committee, Nominating Committee, Legislative Support Committee, Administration and Finance Committee (where he was the Chairman for 5 years) and a Regional Director for Central Region.-read more-
ALD Updates The Accountancy Licensee Database (ALD) and CPAverify are currently housing data from 51 Boards of Accountancy. One re-implementation is currently in the final stages of testing (MA). We continue to work with the four boards not yet participating to get them on board and continue to work with boards to add disciplinary data and firm data to their ALD feeds.-read more-
