RubinBrown Team Member Manual

Section: Continuing Professional Education (CPE) & Mandatory Training 1220 Risk Management

Policy Title: Policy Number:

Effective Date:

Supersedes Policy Dated:

06/01/2024

06/01/2023

Policy: All professionals in the firm are required to fulfill the prescribed number of CPE hours to maintain their professional licenses and certifications. All team members are required to complete and pass firm designated mandatory training courses within the specified time frame. 1. Purpose • RubinBrown recognizes the importance of ongoing professional development to maintain high standards of competence, ethics, and regulatory compliance. This policy outlines the guidelines and expectations for CPE for professionals holding licensure and certifications, and the firm designated mandatory training for all team members. 2. CPE Guidelines • The specific CPE requirements are based on guidelines established by the National Association of State Boards of Accountancy (NASBA), the American Institute of Certified Public Accountants (AICPA), and the Public Company Accounting Oversight Board (PCAOB). 2.1 CPE Requirement • All team members are required to fulfill the prescribed number of CPE hours each year to maintain their professional licenses and certifications. 2.2 Approved CPE Activities • CPE hours can be earned through attending seminars, workshops, conferences, webinars, e-learning courses, and other relevant educational activities. Only activities that contribute to the professional development and knowledge enhancement in areas related to the team member's role and industry are considered acceptable for CPE credit. It is the responsibility of each team member to ensure that the selected activities comply with the guidelines set by the relevant regulatory bodies. 3. Mandatory Training 3.1 Required Training Programs • To ensure the highest level of professionalism, ethics, and compliance, RubinBrown provides mandatory training programs for all team members. These programs cover various topics, including but not limited to ethics, client confidentiality, cybersecurity, and updates on accounting standards and regulations. Participation in these training programs is mandatory for all team members and must be completed within the specified timeframe. 3.2 Training Delivery • Mandatory training programs may be delivered through a combination of in-person sessions, online modules, virtual training sessions, or other appropriate methods. The firm will communicate the training schedule and provide relevant resources and materials to facilitate successful completion.

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