Ep 5: YIKES! I'm being investigated! What now?

July 30, 2019

When we think of ethics, most of us think in terms of behavior. Integrity, objectivity, and independence are the pillars of our profession. But what about our technical responsibilities? In this episode, you’ll hear managers in the AICPA ethics division discuss both sides of ethics and what to do if you get a letter.

What you’ll learn in this episode:

  • How accounting principles, auditing standards, and other technical considerations are related to ethics   (01:35)
  • Examples of technical violations (03:25)
  • How and why ethics investigations start (04:46)
  • What to do if you get a letter from the ethics division (07:21)
  • Consequences of non-response (09:05)
  • How licensure and membership are affected by an investigation (12:50)
  • Frequently asked questions (18:00)

Listen to the episode below:

If you have questions about the substantive content of this episode, please call the ethics hotline at 888.777.7077 (option 2, then option 3) or email ethics@aicpa.org.

If you have comments on this episode or if you’d like to suggest topics for future episodes, please email ethicallyspeaking@aicpa.org.