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Enforcement and licensing reports: nearly 1,500 complaints received; renewals move to CE self‑certification
Summary
Enforcement staff reported nearly 1,500 complaints this fiscal year, strong case closure metrics, 600 citations largely for CE noncompliance, and 49 licenses on probation. Licensing reported sub‑30‑day processing times, increased audits under CE self‑certification, and a licensing population rise.
Enforcement and licensing leaders updated the California Board of Accountancy on investigative and licensing activity during the March 13 meeting.
Carrie Okconor, chief of enforcement, said the CBA had received nearly 1,500 complaints during the reporting period and closed more than 400 cases with 97% closed within one year; the average days to close was reported at 71 days. The enforcement inventory held 525 pending investigations as of January 31, and the CBA had referred 13 matters to the Attorney General and filed 15 pleadings. Okconor reported 20 matters pending at the AG's office and 17 final disciplinary orders during the period. Nearly 600 citations were issued, of which 94% were related to continuing education renewal deficiencies; the CBA had withdrawn or modified 48 citations after licensees submitted mitigating evidence.
On probation monitoring, Okconor said 49 licenses were on probation as of January 31 with four new probationers and 17 probation violations primarily due to missed quarterly reports.
Deputy Licensing Chief Suzanne Gracia reported licensing processing times under 30 days and heavy public contact volume — roughly 55,000 telephone and email inquiries during the period. The licensing division approved 3,761 first‑time applicants to sit for the CPA exam and 2,266 new CPA and firm license applications in the reporting window. Gracia noted that beginning January 2026 the board transitioned renewals to a continuing education self‑certification model, which has allowed the CBA to increase the number of renewal compliance audits and perform 557 audits (408 compliant) during the reporting period.
Board members asked for clarification on complaint sources and the drivers behind audit and licensing trends. Staff said complaints come from consumers and other agencies (SEC, PCAOB, peer review program) and that audit and renewal numbers are affected by recent regulatory and exam changes.
