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Securing Your Tax Business: Avoiding Litigation and Sanctions

Note: CLE credit is not offered on this program

Recording of a 110-minute CPE webinar with Q&A

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Conducted on Wednesday, May 1, 2024

Recorded event now available

or call 1-800-926-7926

This webinar will cover critical policies and procedures that firms providing tax services must have in place to ensure compliance with the FTC and IRS guidelines, circumvent data security breaches, and avoid related sanctions. Our authoritative panel of veteran tax advisers will describe cybersecurity measures and policies to protect taxpayers' information and deter potential litigation and penalties.


Ensuring your tax practice is secure and compliant is paramount and mandated. The first step to circumvent future problems begins with properly vetting new clients. Existing and accepted clients should be advised of the firm's policies and notified of the parameters of a tax engagement. Staff needs to be well-trained and up-to-date on the latest tax developments.

Due to the volume of personally identifiable information (PII) they collect, tax practices are targeted by cybercriminals. Implementing data security measures to avoid cybercrimes or unintentional disclosure of data is a must. A WISP (Written Information Security Plan) is required by the FTC for tax professionals. Failure to comply can subject a practice to criminal and civil penalties under IRC Sections 7216 and 6713.

Securing a tax business is a monumental task. However, there are specific steps firms can take to facilitate compliance and avoid sanctions. Understanding how best to communicate securely with clients, implement required policies, and respond to data security breaches is key.

Listen as our panel of accomplished tax experts details specific steps tax professionals can take to secure their businesses and safeguard client data.



  1. Securing your tax business: introduction
  2. Client due diligence
  3. Compliance with tax laws and regulations
  4. Data security measures
  5. Cybersecurity measures: WISP
  6. Employee screening and training
  7. Communications protocols
  8. Cooperation with regulatory authorities
  9. Internal investigation protocol
  10. Legal counsel and professional advisers
  11. Continuous improvement
  12. Conclusion and recap


The panel will cover these and other critical issues:

  • Implementing a WISP
  • Avoiding criminal and civil penalties for noncompliance with required cybersecurity measures
  • Steps to screen and train employees
  • Performing thorough due diligence when accepting new clients
  • Cybersecurity measures to protect clients' PII


Billups, Shauntee
Shauntee Billups

Luxury Tax Services

Ms. Billups is fueled by a burning desire to empower others both financially and mentally. She dedicates herself to...  |  Read More

Harris-Walton, Josie
Josie Harris-Walton, Esq.

Quintairos, Prieto, Wood & Boyer

Ms. Harris-Walton is an accomplished attorney with an illustrious reputation in tax law, Ms....  |  Read More

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