RubinBrown Team Member Manual

POLICY CONTINUED Policy Title: Policy Number:

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

3.3 Completion of Mandatory Training Programs • Mandatory programs will be tracked and recorded by the firm’s LMS & Compliance system. • Team members must acknowledge their completion of each training program as required, ensuring accurate records are maintained. 4. Compliance and Consequences • Failure to comply with the CPE guidelines and mandatory training requirements can be seen as a lack of commitment to professional development and may result further disciplinary action. 5. Policy Review • This CPE and Mandatory Training Policy will be reviewed periodically to ensure its continued relevance and compliance with regulatory standards. Any updates or revisions will be communicated to all team members accordingly. By adhering to this policy, we demonstrate our commitment to professional growth, development, and excellence in serving our clients and upholding the highest ethical and regulatory standards.

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