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 

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

DOL Investigations

Government and Not-For-Profit Investigations

Annual reports of the AICPA Professional Ethics Division disciplinary activity: 

2015-2014 Statistical Report
2014-2013 Statistical Report
2013-2012 Statistical Report
2012-2011 Statistical Report
2011-2010 Statistical Report
2010-2009 Statistical Report
2009-2008 Statistical Report

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 - Members Who Perform PCAOB
Published on April 28, 2016

Joint Ethics Enforcement Program (JEEP) Manual of Procedures

Report This manual describes the procedures to be followed for AICPA and state society joint ethics investigations and enforcement. The AICPA’s Professional Ethics Division the state society ethics committees may jointly investigate potential disciplinary matters and arrange for the presentation of cases before the trial board when prima facie evidence of a
Published on October 21, 2015

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 October 21, 2015

Non-Enforcement Policy Related to Use of Only PCAOB Auditing Standards

Press Release The Professional Ethics Executive Committee (PEEC) has agreed that it will not take enforcement action against a member or member’s firm (“member”) who performs an audit using PCAOB auditing standards for an entity, other than an issuer or SEC-registered broker dealer, and fails to also apply and report under generally
Published on June 26, 2015

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 June 15, 2015

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 June 15, 2015

Ethics Decision for CPAs in Business

Guide The AICPA created the following decision tree to help walk you through a process of resolving an ethics issue that you might encounter in your professional career.
Published on May 22, 2015

2014 Annual Report of AICPA Disciplinary Activity

Disciplinary Actions AICPA Professional Ethics Division's disciplinary activity for the period 1/1/14 to 12/31/14.
Published on February 25, 2015

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

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

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