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CPA firms are often uncertain about how to respond to subpoenas because they also need to comply with a number of rules and regulations that are intended to protect client confidentiality.

A subpoena is usually a formal request for documents and/or appearance. The request may come from an attorney in the course of litigation or by a government agency in the course of a criminal or civil investigation.

A CPA in receipt of a subpoena should consider the information in the client files, along with any recent communications with the client or any parties involved, and then contact his or her professional liability risk adviser or attorney before responding to the subpoena.