A Quarterly Publication Dedicated to Enforcement and Compliance
A Quarterly Publication Dedicated to Enforcement and Compliance
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August 2014
NASBA Helps Connect the Dots
In March 2014, during the Executive Directors Conference, participants heard concerns expressed by a representative of the U.S. Department of Labor about the quality of Employee Benefit Plan (EBP) audits conducted by public accounting firms.  -read more-
Enforcement Policy for Mobility Complaints
In August 2013, the Enforcement Resource Committee and ALD Committee formed a joint sub-committee to consider enforcement issues arising from cross-border practice and, in particular, how boards should coordinate with regard to complaints/disciplinary actions under mobility and whether ALD or another tool could be used to help capture such enforcement data to assist boards in regulating their licensees.  -read more-
CAC Releases NPRC Report
In 2009, an agreement was reached between NASBA and the AICPA to provide a mechanism by which the operations of the National Peer Review Committee (NPRC) could be monitored and reported on by NASBA’s Compliance Assurance Committee (CAC).  -read more-
Expanding the Quarterly Enforcement Report
The first SEC Enforcement Report was distributed by NASBA in September 2013, with regular quarterly reports beginning October 15, 2013. The first report included information gathered from the SEC A&A (Accounting & Auditing) Enforcement information on the SEC website.  -read more-
Communicating with Federal Agencies
Whether you need to refer a matter to a federal agency or have received a referral from an agency, the process begins with the simple question of “Who do I contact for more information?” The Enforcement Resources Committee has worked diligently this past year to develop relationships with the SEC, IRS, DOL, and AICPA to assist our boards in this area.  -read more-
Further Enhancements to the Accountancy Licensing Library (ALL) Research Tool
International education and experience issues are impacting CPA exam and license applicants on a daily basis. NASBA continues to respond to these and other emerging accounting trends by enhancing the content and options available within the ALL resource to help meet the needs of Boards of Accountancy, Colleges/Universities, CPA Firms and Individuals.  -read more-
ALD Updates
There are now 47 Boards of Accountancy participating on the Accountancy Licensee Database (ALD). Connecticut is the most recent addition to both the ALD and CPAverify. Oregon has recently completed automation of their daily export and Indiana was also just added to CPAverify - bringing the CPAverify.org total up to 45! Congratulations to all the new participating Boards!  -read more-
Directory of Enforcement Resources
Permanent Links in Enforcement Email

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