Ethics Spin from Engaging a Client to Terminating a Client (Completed)

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Ethical decision‑making is embedded throughout the entire client lifecycle—from the initial client screening and engagement process to ongoing relationship management and, in some cases, disengagement. Missteps at any stage can expose professionals to legal, regulatory, and reputational risk. This online ethics course provides accounting and financial professionals with a practical framework for applying ethical standards when engaging, maintaining, and terminating client relationships.

Led by Susan Harper, Certified Fraud Examiner and retired IRS Internal Revenue Agent, this program takes participants through every phase of the client relationship lifecycle. Attendees will examine ethical considerations involved before accepting an engagement, the critical role engagement letters play in setting expectations, strategies for maintaining professional client relationships, and the warning signs that may necessitate terminating a client. The course also addresses best practices for drafting termination letters and managing sensitive disengagements. Real‑world scenarios and case studies reinforce ethical judgment and risk management throughout the program.

Who Should Attend
This course is designed for professionals who engage, advise, and represent clients and want to strengthen ethical decision‑making throughout the client relationship lifecycle.

Topics Covered

• Ethical considerations when engaging new clients
• Client screening and acceptance decisions
• Engagement letter purpose and required components
• Managing ongoing client relationships ethically
• Identifying red flags and reasons for disengagement
• Termination letter components and best practices
• Ethics case studies and practical applications

Learning Objectives

• Evaluate ethical considerations when deciding whether to engage a new client
• Identify essential components of an effective engagement letter and explain their ethical importance
• Apply strategies to ethically manage and maintain ongoing client relationships
• Recognize circumstances that warrant client disengagement based on ethical and professional standards
• Prepare an ethically appropriate termination letter that limits professional risk
• Analyze case scenarios involving ethical challenges throughout the client lifecycle

Level
Basic

Instructional Method
Group: Internet-based

NASBA Field of Study
Behavioral Ethics (2 hours)

Program Prerequisites
None

Advance Preparation
None