Regulatory Ethics: Practical Guidance

1 Credits: Regulatory Ethics


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Regulatory Ethics: Practical Guidance

Course Level
CPE Credits

1 Credits: Regulatory Ethics

Course Description

Ethical standards pronounced by the AICPA and the Department of the Treasury serve as needed guardrails designed to regulate professional behaviors for individuals working in both public accounting and in industry.  During this session, we’ll review two important publications issued by these rule making bodies:

  • The AICPA Code of Professional Conduct
  • Circular 230, Regulations Governing Practice before the Internal Revenue Service

Additionally, we’ll examine the tenets of accounting ethics including a review of recent trends.

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Learning Objectives

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

  • Recall which branch of ethics is closely aligned with regulatory guidance in organizations.
  • Identify prevailing global trends in business ethics.
  • Recall various threats impacting practitioner independence.
  • Identify professional duties governed by Circular 230.
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Course Specifics

Course ID
Revision Date
April 9, 2024


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.