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Risk Management

CPE Course

We provide a 12 hours credit Continuing Professional Education course to members. This is QAS approved by NASBA. Go to for details.



Individual risk management seminars may be arranged for larger firms or groups of professionals. These are presented by Ralph Picardi or another CPA-Attorney. The expense of these individual seminars is often shared with the firm or group. Live seminars grant 4 hours CPE credits.  Please go here for a recorded version of the last risk management webinar.  There is also a new webinar from Accounting Today: “Liability Issues: What is threatening your firm.”


Coverage checklist

Follow the links below for two valuable coverage evaluation tools:  a whitepaper: “Understanding Your Professional Liability Insurance Coverage” – go here.  A checklist to help CPAs review the quality of coverage – go here.  These are MS Word documents and take a few seconds to load.


Engagement letters

Go to engagement letters for details. This is a password protected library – ask your agent for assistance.

In regard to the use of personal information (e.g. medical records) of clients and client employees, you may need a confidentiality agreement.  A good example is available here.


Client Evaluation

Go here for a copy this white paper.  Go to here for a copy of the Questionnaire. The Questionnaire is an MS Word document and might take a minute to load. The white paper requires completion of a short input form and will be sent directly to your in-box.


Mergers & Acquisitions

Go here for a copy the aide memoire (checklist) to assist you to evaluate potential M&A candidates. This is an MS Word document and might take a minute to load.


Most businesses collect or hold personally identifying information (PII) about customers, employees, or business partners. If this PII is lost or stolen, this places not just these persons at risk of identity theft but the PII custodian and controller at risk of civil liability and criminal sanctions, too.  Have you considered these questions?

  • Where do I store confidential information?
  • What steps can I take to improve data protection?
  • Does my firm have the external resources to protect itself from Cyber Liability?
  • Do we have written guidelines and procedures for lost files, media storage devices, and other electronic equipment?

We break down these questions and more here: Cyber Liability Discussion Paper Go here for the cyber security checklist Go here for the cyber policy review/checklist


Data breaches can be innocent or sinister, but either way, the consequences for an organization sustaining a breach can be costly if not catastrophic. The impacts can be qualified into two basic categories: insurable and non-insurable. This paper considers the impacts of both category types and controls to put in place to reduce loss exposure.  Find the paper here: Cyber Loss: Impacts and Controls

Please contact your agent or Rickard Jorgensen at (201) 345 2440.