Regulatory Ethics – Data

1 Credits: Regulatory Ethics


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Regulatory Ethics – Data

Course Level
CPE Credits

1 Credits: Regulatory Ethics

Course Description

Data is the lifeblood of business.  As such, CPA’s must be vigilant in safeguarding this client data according to Federal and State regulatory requirements.  This courses covers key considerations CPA’s should be mindful of concerning client data including:

  • Requirements for maintaining confidential client information
  • Malpractice considerations regarding data
  • Client Record Retention requirements
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Learning Objectives

Upon completing this course you will be able to:

  • Recall actions that CPAs should undertake to remain compliant with the AICPA Confidential Client Information Rule.
  • Recall key considerations that CPAs should make when developing record retention policies.
  • Identify key characteristics of a well-designed record retention system.
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Course Specifics

Course ID
Revision Date
October 19, 2021


Advanced Preparation


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

Frank Castillo

Frank Castillo is a nationally acclaimed CPA, author & instructor. His body of published work includes over 300 video and text based courses addressing technical and personal challenges modern day accountants face.  Frank has traveled extensively across this great country providing tailored consulting services for professional athletes, performing artists, business mavericks, and dedicated licensed professionals.