A Publication Dedicated to Enforcement and Compliance

Summer 2024 Populating the NCID in the Accountancy Licensee Database (ALD) Currently, NASBA does not have a unique identifier that links CPA Exam candidates and their Exam scores to licensed CPAs in the Accountancy Licensee Database (ALD). A value that could link the data between the systems would greatly enhance the data included in the ALD and provide added efficiencies.  -read more- CPE Audit Service: Strengthening CPE Compliance Enforcement for Boards of Accountancy  Ensuring compliance with Continuing Education Requirements (CPE) is essential to maintaining the integrity and competence of CPAs.  -read more- NASBA's CPT Ethical Leadership Training Program: A No Cost Option for Board Discipline  Is your Board looking for alternative ways to address ethics disciplinary matters that would assist your practitioners in learning how to avoid future ethical violations and in turn protect your consumers?  -read more- Department of Labor: Audit Deficiency Referral Project Underway It is a common goal of the Department of Labor (DOL) and State Boards of Accountancy that CPAs who perform benefit plan audits do so in accordance with professional standards to protect the interest of plan participants and beneficiaries  -read more- Providing Electronic Records to Clients  Many CPAs are aware they must return client-provided records in their custody or control to the client upon their request.  -read more- Enforcement Legislative Update  The 2024 legislative sessions came to an end for most states with the start of summer. While NASBA tracked many bills on enforcement matters, most bills from this year’s legislative sessions under the enforcement category focused on how criminal histories are weighed in licensure application decisions.  -read more- Directory of Enforcement Resources ALD ALL Compliance Assurance Committee CPAmobility.org CPAverify.org Enforcement Resource Guide Enforcement Resources Committee Enforcement Tools Investigator Training Series PROC Resources

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