A Publication Dedicated to Enforcement and Compliance
A Publication Dedicated to Enforcement and Compliance
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February 2016
Update on CPE Standards
On October 1, 2015, the public comment period on the proposed revisions to the Statement on Standards for Continuing Professional Education (CPE) Programs (Standards) closed. Fifty-one (51) comment letters were submitted from various sources including individual practitioners, CPA firms, CPE vendors, state boards and state societies.   -read more-
California Mobility Project
The California Legislature adopted California Business and Professional Code Section 5096.21 requiring that the California Board of Accountancy (CBA), either individually or through NASBA, adopt a set of guiding principles by which to determine the substantial equivalency of the enforcement processes of all Boards of accountancy in order to continue to allow CPAs from other jurisdictions to exercise “no notice/no fee” individual mobility to California clients.  -read more-
ED and Legal Conference Save the Date
Federal referrals, current accounting issues, peer review, attest definition, the impact of marijuana legalization, and diversity are just a few of the topics on the agenda for the upcoming Executive Directors and Legal Counsel conferences.  The conferences will be held in Tucson, Arizona, during March 15-17, 2016.  -read more-
DOL Referrals - Connecting the Dots to Expedite the Enforcement Process 
So your Board has received a referral from the DOL, what should you do now?  In the past, there has been a great deal of confusion with the referral of matters by the DOL.  A new process has been created to help ensure proper receipt of the file and to facilitate communication between the Boards and the DOL to best utilize the resources of the Boards.  -read more-
ERG - Component 9: Monitoring Provisions & Sanctions
The Enforcement Resource Guide (ERG) divides the enforcement process into nine basic components. In this newsletter, we will focus on Component 9:  Monitoring Provisions & Sanctions. Monitoring provisions include the system or procedures of tracking the terms of a final Board order.  -read more-
Enforcement Resource Guide
Enforcement Resource Guide News Flash
The Enforcement Newsletters have continually hosted articles summarizing the great information available to Executive Directors through the Enforcement Resource Guide.  This edition is no different, with a summary of Component 9 included in the “Did You Know” section of this newsletter.  -read more-
Two Smart ALD Additions to Make Your Life Easier
Firm data is a major focus right now in light of the DOL audit quality study results and the related challenges with peer review. As a result, we’ve begun collecting two additional pieces of data in the ALD feeds from Boards: EINs (employer identification numbers) and peer review requirement data.  -read more-
FSBA Video Tutorial Now Available to Boards of Accountancy
The AICPA has launched an educational training video to assist Board of Accountancy Executive Directors and staff utilize their peer review portal called the Facilitated State Board Access (FSBA). Boards of Accountancy (BOAs) can determine whether an in-state or out-of-state firm is enrolled in a peer review program through the AICPA’s Facilitated State Board Access (FSBA) process.  -read more-

ALD Updates
The Accountancy Licensee Database (ALD) and CPAverify now has data from 51 Boards of Accountancy participating on each. Michigan went live on January 22nd. They are currently working on adding disciplinary data and automating their feed. All four of the remaining boards are in various stages of their implementations.  -read more-
Directory of Enforcement Resources
Permanent Links in Enforcement Email
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