CONTINUING EDUCATION FOR TAX & FINANCIAL PROFESSIONALS
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Self-Study

Ethical Responsibilities

Individual
Teams

$58.00 – $78.00

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Without FlexCast, you must start with enough time to finish. (1 Hr/Credit)

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CPE Credits

2 Credits: Regulatory Ethics
Course Level
Overview
Format
Self-Study

Course Description

The accountant is beset with requirements from regulatory agencies and the government that strictly define his or her responsibilities in many areas of daily practice. This ethics CPE course covers many of these responsibilities, noting their exact sources in case the accountant wants to peruse them in greater detail. The responsibilities covered in our CPA ethics course include one’s responsibilities when acting in a fiduciary capacity, when dealing with taxpayers, when involved with the auditing of publicly-held companies, and when confronted with financial violations that are not being addressed by management.

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Learning Objectives

Upon successful completion of this course, participants will be able to:

  • Describe the constraints on the accountant to engage in whistleblowing activities.
  • Specify the circumstances under which the Securities and Exchange Commission allows the disclosure of confidential client information.
  • Describe the terms of monetary payout arrangements to whistleblowers in the Dodd-Frank Act.
  • Identify the legal arrangement under which a party can file a lawsuit on behalf of the government, with the intent of obtaining a settlement related to defrauding the government.
  • Specify the requirements of the various sections of the Sarbanes-Oxley act as they pertain to the responsibilities of the accounting function.
  • Explain the terms under which a publicly-held company can hire its auditors for in-house positions.
  • Describe the services that an audit firm cannot provide to its publicly-held audit clients.
  • Specify the thresholds used to indicate the probability of success for tax return positions.
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Course Specifics

Course ID
SS424388124
Revision Date
June 18, 2024
Prerequisites

There are no prerequisites.

Advanced Preparation

None

Number of Pages
54

Compliance Information

NASBA Provider Number: 103220

CFP Notice: Not all courses that qualify for CFP® credit are registered by Western CPE. If a course does not have a CFP registration number in the compliance section, the continuing education will need to be individually reported with the CFP Board. For more information on the reporting process, required documentation, processing fee, etc., contact the CFP Board. CFP Professionals must take each course in it’s entirety, the CFP Board DOES NOT accept partial credits for courses.

Meet The Experts

Steven M. Bragg, CPA

Steven M. Bragg, CPA, is a full-time book and course author who has written more than 300 business books and courses. He provides Western CPE with self-study courses in the areas of accounting and finance, with an emphasis on the practical application of accounting standards and management techniques. A sampling of his courses include the The New Controller Guidebook, The GAAP Guidebook, Accountants’ Guidebook, and Closing the Books: An Accountant’s Guide. He also manages the Accounting Best Practices podcast. Steven has been the CFO or controller of both public and private companies and has been a consulting manager with Ernst & Young and …

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