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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 2011-2010 Statistical Report of the disciplinary activity of the AICPA is now available. This report includes 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. The AICPA and state CPA societies participate in the Joint Ethics Enforcement Program. The report includes investigations conducted by state societies resulting in findings of ethics code violations and cases referred to the Joint Trial Board by state societies.

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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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

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 Component Aud
Published on February 21, 2012

Annual Disciplinary Report for 2011

Report :  The AICPA's Ethics Division investigation summary of discipline taken during 2011.
Published on February 21, 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

Annual Report of AICPA Disciplinary Activity

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 March 01, 2011

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

Annual Report of AICPA Disciplinary Activity

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 April 29, 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

Joint Ethics Enforcement Program (JEEP) Manual of Procedures

Guide :  Joint Ethics Enforcement Program (JEEP) Manual of Procedures
Published on April 18, 2010

How To Respond to an Ethics Investigation

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

Explanations Of Sanctions

Article :  Summary of the sanctions that the ethics division uses in enforcement matters.
Published on March 10, 2010

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