RubinBrown Team Member Manual

Section: Licensure & Professional Certification 1221

Policy Title: Policy Number:

Risk Management

Effective Date:

Supersedes Policy Dated:

06/01/2024

06/01/2023

Policy: All professionals who have passed the Uniform CPA Examination and have met the applicable experience and other requirements to be certified should hold an active CPA license(s) with the appropriate state board(s) at all times. Such CPAs should obtain and maintain an active license in the state where they maintain an office and their state of residency. For 100% remote staff CPA’s, licensure in state of residency is required; unless client specific work dictates state specific licensure. 100% remote manager CPA’s should maintain licensure in the office they are administratively assigned and their state of residency. 1. Purpose RubinBrown recognizes in order to deliver on the promise of exceptional client service; many of our professionals maintain professional licenses and certifications. This ensures compliance with state-specific licensing requirements and allows the firm to offer services in those states. CPAs meet the licensing requirements of jurisdictions CPAs be licensed in the state of residence and the state of office location team member is administratively assigned. All personnel holding professional licenses and certifications have a personal responsibility to maintain such licenses and certifications in good standing through timely renewals and (where required) the attainment of the appropriate level Failure to comply with licensure guidelines and maintaining the good standing requirements may result in disciplinary measures such as verbal and written warnings; limitations on ability to provide certain services, particularly in jurisdictions where licensure is required, potentially impacting eligibility for promotions or additional responsibilities. The firm may require non-compliant team members to create a development plan aimed at achieving the necessary licensure. This plan may include specific milestones and deadlines for obtaining the required qualifications. Non compliance with licensure can be seen as a failure to meet the firm’s expectations and professional standards, which can result further disciplinary action. 3. Policy Review This Licensure and Professional Certification 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. of continuing professional education. 2. Compliance and Consequences

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