Ethics Enforcement

    Ethics Enforcement 

    The Professional Ethics Division investigates potential disciplinary matters involving members of the AICPA and state CPA societies participating in the Joint Ethics Enforcement Program.

    Division Statistics 

    Annual reports of the AICPA Professional Ethics Division disciplinary activity: 

    2013-2012 Statistical Report
    2012-2011 Statistical Report
    2011-2010 Statistical Report
    2010-2009 Statistical Report
    2009-2008 Statistical Report

    The Division's reports on the most frequent professional standards violations for:

    DOL Investigations

    Government and Not-For-Profit Investigations

    Disciplinary Actions 

    To search for discipline information (e.g., a last name) once you click on a particular month, press "Control+F" and enter the information that you are seeking (for example, a last name). 

                     Disciplinary Actions

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    Ethics Enforcement

    Report The Professional Ethics Division investigates potential disciplinary matters involving members of the AICPA and state CPA societies participating in the Joint Ethics Enforcement Program. PEEC Non-Enforcement Policy - Foreign
    Published on April 22, 2014

    2013 Annual Report of AICPA Disciplinary Activity

    Disciplinary Actions AICPA Professional Ethics Division disciplinary activity for the period 2013 - 2012.
    Published on April 22, 2014

    AICPA Disciplinary Activity 2009

    Report A statistical report of the disciplinary activity of the AICPA, including cases investigated by the Professional Ethics Division, cases handled by the Joint Trial Board Division and actions taken under the automatic provisions of the AICPA bylaws.
    Published on January 30, 2014

    AICPA Disciplinary Activity 2012

    Report A statistical report of the disciplinary activity of the AICPA, including cases investigated by the Professional Ethics Division, cases handled by the Joint Trial Board Division and actions taken under the automatic provisions of the AICPA bylaws.
    Published on January 30, 2014

    AICPA Disciplinary Activity 2011

    Report A statistical report of the disciplinary activity of the AICPA, including cases investigated by the Professional Ethics Division, cases handled by the Joint Trial Board Division and actions taken under the automatic provisions of the AICPA bylaws.
    Published on January 30, 2014

    AICPA Disciplinary Activity 2010

    Report A statistical report of the disciplinary activity of the AICPA, including cases investigated by the Professional Ethics Division, cases handled by the Joint Trial Board Division and actions taken under the automatic provisions of the AICPA bylaws.
    Published on January 30, 2014

    Joint Ethics Enforcement Program (JEEP) Manual of Procedures PDF

    Guide Joint Ethics Enforcement Program (JEEP) Manual of Procedures
    Published on April 04, 2013

    Government and Not-For-Profit Frequent Violations Report

    Report The AICPA Professional Ethics Division has compiled a report of deficiencies frequently found in its investigations of audits of government and not-for-profit entities over the last 2 years.
    Published on February 22, 2013

    Frequent Employee Benefit Plan Deficiencies

    Report The AICPA Professional Ethics Division has compiled the following list of deficiencies frequently found in its investigations of employee benefit plan audits over the last 2 years.
    Published on February 22, 2013

    PEEC Non-Enforcement Policy

    Article The Professional Ethics Executive Committee (PEEC) has agreed that it will not take enforcement action against a member who is a member of a group engagement team in cases where a foreign component auditor involved in the group audit is not in compliance w
    Published on February 27, 2012

    How To File a Complaint

    FAQ The Professional Ethics Division investigates complaints against AICPA members. All letters of complaint should be mailed
    Published on January 10, 2012

    Ethics Decision Tree for CPAs in Business and Industry

    Guide If you are challenged with an ethics issue in your professional career, chances are you won’t know where to turn, whom to talk to, or what to do next. The AICPA, in consultation with the Business & Industry Executive Committee, created the following decision tree to help walk you through
    Published on October 22, 2010

    Joint Ethics Enforcement Program (JEEP) Manual of Procedures

    Guide Because it is not uncommon for a CPA to be a member of both the AICPA and one or more state societies, the AICPA and virtually all of the state societies have joined together to create the Joint Ethics Enforcement Program (JEEP).
    Published on September 21, 2010

    Definitions of Ethics Sanctions/Disposition

    Report This page defines ethics sanctions and disposition put forth by the AICPA. Learn More
    Published on April 29, 2010

    How To Respond to an Ethics Investigation

    Guidance How To Respond to an Ethics Investigation
    Published on April 14, 2010

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