1-Hour Program

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This program covers regulatory ethics for accountants and auditors under the AICPA, IMA, SEC, State Boards of Accountancy, PCAOB, and NASBA guidelines.  The CPE Field of Study is Regulatory Ethics.  This program does not cover legal ethics and does not offer ethics CLE. Please check the credit details section for credit information in your jurisdiction.

This program is presented by George Wilson and it explores how we apply professional guidelines to make ethical decisions in the SEC reporting  process. Because it deals with underlying ethical considerations, it serves as a basic introduction and a supplement to more detailed training in accounting and legal considerations in SEC reporting.

During this course, you will:

  • Watch videos of PLI faculty with experience and expertise in the field.
  • Practice applying your knowledge to realistic hypotheticals.
  • Review your understanding through interactive quizzes.

In order to complete the program you will need to:

  • Watch all the videos
  • Answer all questions
  • Pass the final exam with a score of 80% or higher.

After completing this program, you will be able to:

  • Identify the key professional frameworks for regulatory ethics that apply in SEC reporting.
  • Explain the ethical issues involved in two cases that illustrate the complex nature of ethical challenges we may face as professionals.
  • Describe our role as a “gatekeeper” in the financial reporting process.
  • Explore strategies we can use to resolve ethical challenges we may have to deal with in our SEC reporting roles, so that we can plan appropriate responses such as using internal and external whistle blower hotlines.

Program Level: Overview

Intended Audience: Accountants who deal with SEC financial reporting and disclosure and related accounting issues, CFOs, controllers and their staff, internal auditors, partners of public accounting firms and their staff.

Prerequisites: None

Advance Preparation: None

Fields of Study: Regulatory Ethics




Credit Details

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