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Enforcement Newsletter

July 2016

Boards of Accountancy are served by investigators who may be professional investigators, CPAs, board members, law enforcement or have other specialized experience. This situation may result in an individual performing investigatory work for a Board of Accountancy who has investigative experience but is not versed in accountancy laws/rules, or perhaps is a CPA with a great deal of industry experience but no training or experience in investigative techniques.

To meet this need, the Enforcement Resources Committee launched the Investigator Training Series in 2013.

After publishing the Training Series, we received many comments asking if we could create a "test" that would allow the Training Series to operate similarly to a continuing education course for a CPA or a licensed investigator. In response, we have now launched revised modules which include a quiz at the end of each module. The user will need to disable any pop-up blockers prior to beginning a module. The user will be required to view the entire presentation and then complete the quiz.

Scores will not be generated unless the user scores at least 80% and has viewed the entire presentation. At the conclusion, a separate window will appear that will include a score report and the ability to print a certificate of completion.

Investigator Certificate sample

This series of training modules was created to provide guidance to assist investigators in understanding the enforcement process and investigative needs of Boards of Accountancy. The modules also include sample forms to help the investigator with the steps of a successful investigation, such as samples of an investigation report, expert engagement letter, or chart for tracking pending investigations.

The training series covers the following topics:

The Investigator Training Series can be accessed by selecting "Member Center" on the home page, and then choosing "Enforcement Tools" from the drop down menu. This service is located within the "Investigators & Expert Witnesses" section of the web page. A direct link to the Training home page is provided here for your convenience.

Any questions can be directed to Stacey Grooms at

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