A Quarterly Publication Dedicated to Enforcement and Compliance
A Quarterly Publication Dedicated to Enforcement and Compliance
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May 2015
Video Tutorials Released on Communicating with Federal Agencies
The flow of information between Federal agencies and the Boards of Accountancy plays a major role in governing across jurisdiction lines and between multiple regulatory bodies. In order to effectively enforce the rules and regulations of the CPA profession, the Boards must often exchange information with the Internal Revenue Service (IRS), Securities and Exchange Commission (SEC) and the Department of Labor (DOL)—each of which have a unique role and process for such collaboration.  
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Boards Lead the Way with ALD and CPAverify
Boards of Accountancy were very forward-thinking with the creation of the ALD. There is no better way to demonstrate the truth of that statement than to juxtapose ALD’s evolution with other milestones occurring in the world of data at the same time.   -read more-
CAC Releases White Paper on Dealing with Failed Peer Review Reports
The Compliance Assurance Committee (CAC) is pleased to announce the release of a new tool to assist Executive Directors and accountancy boards when dealing with failed peer review reports.  
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Enforcement Resource Guide - Component 7: The Appeals Process
The Enforcement Resource Guide (ERG) divides the enforcement process into nine basic components. The seventh of these components is about the appeals process. In every jurisdiction, a respondent has the right to appeal a Board’s decision to a variety of decision-making bodies, such as a full Board hearing, Circuit Court, Court of Appeals, and/or Supreme Court.  -read more-
ALD & CPAverify- Current. Accurate. Reliable.
We love getting requests for topics to cover in the Enforcement Newsletter! Thanks to Monica Petersen, Executive Director of the Arizona Board of Accountancy for the following suggested topic. 
In the last few years we have certainly focused on achieving 100% participation and we are nearly there; but, one objective that was just as important as participation was quality of data.  -read more-
20th Annual Legal Counsel Conference Recap
In March, attorneys and investigators with the Boards of Accountancy met in Tampa for the 20th Annual Legal Counsel Conference. Presentations and discussions covered topics such as ethics, client records, Fifth Amendment considerations, and the latest updates in regulatory case law. Additional sessions featured discussions on the forensic accounting of financial statements and behavioral/writing analysis.  -read more-
Accountancy Boards/ CPA Societies Come Together at 33rd Annual ED Conference
In the winter 2015 edition of EDigital, Jim Abbott, Executive Director of the North Dakota State Board of Accountancy, had some outstanding things to say about his role as an ED, and the strengths of the role in general.  -read more-
2015 PTIN Credential Data Sent to Boards of Accountancy
When tax preparers apply for their required annual Preparer Tax Identification Number (PTIN) with the IRS, it’s their own responsibility to declare credentials—such as a CPA license. This is done by the honor system, as the IRS does not presently verify such credentials.  -read more-
ALD Updates
There are 50 Boards of Accountancy participating in the Accountancy Licensee Database (ALD) and CPAverify. Three of the remaining five boards are working on their implementations. We also have several re-implementations underway. The nature of IT is that technology is constantly changing.  
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