A Publication Dedicated to Enforcement and Compliance
A Publication Dedicated to Enforcement and Compliance
If you are having trouble viewing this email, you may see it online.
July 2016
2016 PTIN Listings Distributed
Are you interested in finding out if any PTIN holders in your jurisdictions are holding out as CPAs without proper licensure? Beginning in 2014, NASBA and the Enforcement Resources Committee have submitted an annual FOIA request to the IRS to obtain the PTIN listing and shared that information with the boards.  -read more-
Licensees Can Serve as Investigators & Expert Witnesses
To help identify potential investigators and expert witnesses, NASBA has created an online application to be used by potential applicants to submit their information, including experience, education, prior trial history, etc.  The applicant can also electronically attach their CV. This information is automatically mapped into the database and available to all Boards of Accountancy.  -read more-
Investigator Training Certificate Available! 
Boards of Accountancy are served by investigators who may be professional investigators, CPAs, board members, law enforcement or have other specialized experience.  This situation may result in an individual performing investigatory work for a Board of Accountancy who has investigative experience but is not versed in accountancy laws/rules, or perhaps is a CPA with a great deal of industry experience but no training or experience in investigative techniques.  -read more-
Searching the Federal Audit Clearinghouse Database
Are you interested in discovering who is performing A-133 audits for clients in your jurisdiction?  A few years ago, NASBA generated a report to send out to each Board with a listing of those audits.  However, with improvements on the Federal Audit Clearinghouse web site, you can now run a state-specific listing at any time.  -read more-
Probation Monitoring Resources Available
In each previous issue of the Enforcement Newsletter, we have focused on a separate Component of Enforcement.  The previous issue looked at Component 9: Monitoring Provisions & Sanctions.  Discussions during the 2016 Legal Counsel Conference reinforced our earlier observations that probation monitoring is handled very differently among the Boards.  -read more-

ALD Updates
The Accountancy Licensee Database (ALD) and CPAverify are currently housing data from 51 Boards of Accountancy. Three re-implementations are underway now (MA, AL, and NH). Of the remaining four boards not yet participating, all are underway except for Utah. The ALD/CPAverify Committee is developing official Data Use Policies, which will provide guidance to ALD users, practitioners, interested parties, NASBA employees, Board of Accountancy employees, and others.   -read more-
Directory of Enforcement Resources
Permanent Links in Enforcement Email
Subscribe to our email list.