Online continuing education provider CPE Link has released Compliance Manager, a Web-based tool aimed at helping licensed financial professionals monitor their compliance with continuing education requirements.
Compliance Manager actively monitors each licensee’s deadlines and subject requirements, automatically tracking CPE compliance periods, and specific subject categories required by each state and national license regulator. This includes all state boards of accountancy for CPAs, and the IRS, which regulates licensing for enrolled agents and the new category of registered tax return preparers. The tool also tracks compliance for certified financial planners and certified management accountants.
For each required subject area, users see a progress bar in Compliance Manager showing the percentage they have completed. They can view the number of hours required, hours earned to date, and any deficit. Users can even view a list of courses that qualify to fulfill any credit deficit. If users have an annual CPE requirement within the overall hours required, they see the status of each year as well.
Users can add hours earned through other providers and upload certificates of completion for storage. Once a course is entered into the system, the information flows to all the required subject areas where it qualifies, including onto multiple licenses. Firms can also monitor the compliance status of all of their professional staff.
To keep licensees on track, Compliance Manager sends periodic reminder emails regarding the user’s compliance status. Users can print or generate an export of CPE records for each reporting period by clicking a button. Any changes that regulators make to the CPE requirements are reflected in the user’s records with the appropriate effective date.
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