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Beyond CLE: CE Credit for AlliedProfessionals and the Lawyer CollectingAcronymsPresented By:Andrew OttigerPLINew York, NYPresented at:ACLEA 56th Mid-Year MeetingJanuary 24, 2020Jacksonville, FL

Andrew OttigerPLINew York, NYAndrew D. Ottiger is the Senior Director of Accreditation and Compliance for the PractisingLaw Institute (PLI), a not‐for‐profit continuing legal education organization based in New YorkCity. Andrew is responsible for the accreditation and compliance of PLI and the SEC Institute, ADivision of Practising Law Institute, and all their programs in all U.S. and foreign jurisdictionsthat require mandatory continuing legal education. PLI and the SEC Institute produce more than450 exclusive live CLE programs annually, which are also made available online in variousformats.In addition to MCLE, Andrew is responsible for the accreditation and compliance for more thana dozen other professional certifications that PLI provides continuing education for includingaccountants and CPAs (PLI is listed as a sponsor of CPE on the National Registry of CPESponsors), certified fraud examiners (CFEs), IRS enrolled agents, anti‐money launderingspecialists (AML), certified compliance officers, certified privacy professionals, certified HRprofessionals, auditors, financial and banking professionals, Certified Financial Planners (CFPs),and more.Andrew works closely with PLI's programs and R&D departments to guide them on regulator'srules, regulations, and instructional design requirements during program and productdevelopment. Andrew is also responsible for the compliance of PLI business systems andoperations related to the advertisement, calculation, issuance, and reporting of CLE and othercontinuing education credits. Andrew is a previous Co‐Chair of ACLEA's MCLE Committee andis a frequent advisor on rules, regulations, processes, and trends in accreditation. Andrewreceived his B.A. in Political Science from Brooklyn College, City University of New York.

Beyond CLE: CE Credit forAllied Professionals and theLawyer Collecting AcronymsAndrew D. OttigerSr. Director, MCLE Accreditation & CompliancePractising Law InstituteNew York, NYACLEA’s 56th Mid-Year MeetingJanuary 24 – 26, 2020

What YourWill Learn: The most common certifications andlicenses held by lawyers and alliedprofessionals The continuing education (CE)requirements for these certificationsand licenses Who the CE regulators are and how tostart the accreditation process Identify what topics and practice areasqualify

Let’s StartWith a SomeTrivia!Question: What do you callthe “alphabet soup” ofcertifications and licensesthat follow a professional’sname?

Let’s StartWith a SomeTrivia!Answer: Post-nominalletters or designatoryletters.

Post-NominalandDesignatoryLetters Standard protocol - order &etiquette Religious institutions Theological degrees Military decorations Academic degrees Honorary degrees, honors,decorations Professional licenses,certifications and affiliations Retired uniformed service.

ProfessionalPost-NominalLetters:Where DoThey ComeFrom? Universities, societies, boards, and certifyingorganizations Organizations involved in setting standards forcertification include: American National Standards Institute (ANSI) Institute for Credentialing Excellence (ICE) Many certification organizations aremembers of the Association of TestPublishers (ATP)

That’s Great.But We Do CLE.How Does This Affect Us?MandatoryContinuing Education(CE) requirements!Many of yourprograms qualify formore than CLE!

Additional Credit Offerings Why it is Important

A QuickLook onLinkedIn JD CPA:ESQ CPA:JD CFE:JD CAMS:JD CIPP:JD CFPJD CRCM:JD SHRM:JD PHR:26,370 results1,637 results1,384 results1,505 results4,820 results2,051 results310 results3,597 result1,073 results

Examples Lisa Xxxxxxxx JD, AWI-CH, SPHR, SHRM-SCPAli Xxxxxxxx, J.D., SPHR, CCEPStephen Xxxxxxxx, JD, CFP James Xxxxxxxx, JD, MBA, CPA, CMA, CIPPRobert Xxxxxxxx JD,CAMS,CIPPGary Xxxxxxxx, CPA, CFE, CFF, CAMS, CFCS, JDStacy Xxxxxxxx, CVA, CDFA, CFE, MBA, J.D.Jeffrey Xxxxxxxx, JD, CPA/ABV, ASA, CFE, CFF,AAML, IAFL, CDFA

CPE for Certified Public Accountants (CPAs)

CPEAccreditation(for CPAs):What YouNeed ToKnow Three primary delivery methods: Group Live (live programs) Group Internet Based (livewebcasts) QAS Self Study (recordedprograms) Each delivery format requires aseparate application

CPEAccreditation(for CPAs):What YouNeed ToKnow Providers must follow the Standards closely. Learning objectives must follow best practices. Programs offering accounting or auditing credits(Fields of Study) require the participation of atleast one licensed CPA in the development of theprogram. The participation of at least onelicensed CPA, tax attorney, or IRS enrolled agentis required in the development of each programin the field of study of taxes.

CPE Accreditation (for CPAs):What You Need To Know Live programs must include elements ofengagement. Live webcasts must have irregular attendanceverification methods. Recorded programs require an exam. CPE credit canonly be issued for a passing score on the exam. Providers can be picked for random audits. Benefit: Following the Standards will make you betterat CLE.

What Topicsand PracticeAreas Qualifyfor CPE? Not just accounting, auditing, and taxes almostanything related to business! Refer to NASBA’s Fields of Study (FoS) Technical vs. Non-Technical Technical: Accounting, Information Technology,Accounting (Governmental), Management Services,Auditing, Regulatory Ethics, Auditing (Governmental),Specialized Knowledge, Business Law, Statistics,Economics, Taxes, Finance Non-Technical: Behavioral Ethics, PersonalDevelopment, Business Management & Organization,Personnel/Human Resources, Communications,Computer Software & Applications

IRS CE for Enrolled Agents

IRS CEAccreditation:What YouNeed To Know Providers must be approved by theIRS. Providers on NASBA’s NationalRegistry of CPE Sponsors receivespecial consideration in theapplication process.

IRS CEAccreditation:What YouNeed To Know Once an approved provider, each program muststill be submitted via the IRS CE online portal. IRS CE certificates require a program number. Attendance needs to be reported. Program development and compliance verysimilar to NASBA’s Standards. Recorded programs require an exam.

What Topicsand PracticeAreas Qualifyfor IRS CE? Federal tax law, Federal tax-related matters,qualified retirement plan matters, Federal taxrelated ethics, or Circular 230 subject matters What is NOT? State and local taxes.

Trivia Time!Question: What is the oldest organization in the USto uses the abbreviation ABA?

Trivia Time!Answer: The American Bankers Association

CE for American Bankers Association (ABA)

CE forAmericanBankersAssociation(ABA) Certified Trust and Financial Advisor (CTFA) Certified Financial Marketing Professional (CFMP) Certified Regulatory Compliance Manager(CRCM) Certified Corporate Trust Specialist (CCTS) Certified IRA Services Professional (CISP) Certified AML and Fraud Professional (CAFP) Certified Securities Operations Professional(CSOP) Certified Retirement Serviced Professional (CRSP) Certified Enterprise Risk Professional (CERP)

CE forAmericanBankersAssociation(ABA): WhatYou Need ToKnow Providers must apply for approval on anindividual program basis. Online programs require a separate application. Expensive! Applications fees are 200- 250 for aone-day program, 350 for a two-day program,and 500 for days or more. Providers don’t report attendance. Certificationholders must report these credits

What Topicsand PracticeAreas Qualifyfor ABA CE? Must be a topic or domain (previously referred toas knowledge areas) found in the certificationexams. Financial services industry legal and compliancetopics related to: Data analytics Financial services Financial data Privacy and cybersecurity Anti-money laundering (AML) laws andregulations

CPE for Certified Fraud Examiners (CFEs)

CFEAccreditation:What YouNeed To Know The ACFE does not approve individual programsor providers. CPE credit from any organization will be acceptedif the course meets the requirements set foracceptable types of CPE credit and acceptablefields of study. Providers must issue a compliant certificate ofcompletion that includes the number of CPEhours attained and whether the credits arefraud-related, ethics-related, or non-fraud andnon-ethics. No costs!

What Topicsand PracticeAreas Qualifyfor CFE CE? Fraud-related: Law related to fraud, financialtransactions and fraud schemes, investigationtechniques, and fraud prevention anddeterrence. Ethics-related: Ethics and professional conduct,ethical practice in business, personal ethics,ethical decision-making, and corporate ethics. Non-fraud and non-ethics-related: all otherbusiness topics.

CAMS credit for Certified Anti-Money LaunderingSpecialists (ACAMS)

Certified Anti-Money Laundering Specialists (CAMS)

CAMSAccreditation:What YouNeed To Know Accreditation is based on a per course basis. Must be applied for in advance of the program;no retroactive applications accepted. Live only. No recorded programs approved. Providers do not report attendance.

What Topicsand PracticeAreas Qualifyfor CAMSCredit? All Anti-Money Laundering (AML) and antifinancial crime (AFC) topics Financial crime detection and preventiontechniques Combating the Financing of Terrorism (CFT) FinTech and cybercrime topics Cryptocurrencies and blockchain Anti-bribery, sanctions, and trade-basedlaundering Know Your Customer (KYC)

CE credit for Certified Financial Planners

CFPAccreditation:What YouNeed To Know Must apply on individual program basis afterbecoming a Sponsor. Fees per application based on length. One application for both live and live webcasts. Recorded programs require an exam. Certificates must include the CFP approvalnumber. Sponsors must report attendance in a timelymanner.

What Topicsand PracticeAreas Qualifyfor CFP CE? Tax planning Estate planning Retirement savings andincome planning Risk management andinsurance planning

CPE for Certified Internal Auditors (CIA)

CPEAccreditationfor CertifiedInternalAuditors (CIA):What YouNeed To Know The IIA does not approve individual programs orproviders. It is the certified individual’s responsibility toensure that their CPE hours conform to theguidelines established by the IIA's ProfessionalCertification Board (PCB) guidelines. Providers should provide a certificate, or otherwritten independent attestation of coursecompletion. No costs! Just follow the rules.

What Topicsand PracticeAreas QualifyFor CertifiedInternalAuditors(CIA) CPE ? Internal audit topics, business acumen,information security, informationtechnology, and financial management,quality assurance and improvementprograms; governance, risk management,and control, data analytics, fraud risk,cybersecurity, recovery processes,discovery, and ethics.

CE Credit for FINRA-Certified Professionals

FINRA CEAccreditation:What YouNeed ToKnowThe Regulatory Element Mandatory course Provided by FINRAThe Firm Element The Firm Element is developed and administered byfirms. No application process! Each organization mustdetermine if a program is in accordance with itslicensed professional’s annual Needs Analysis andWritten Training Plan per the Firm Elementrequirement. FINRA-licensed professionals can meet their FirmElement requirement through Non-FINRA providersCE.

What Topicsand PracticeAreas Qualifyfor FINRAFirm ElementCE? Any and all topics related to securities andfinancial products including: financial regulations, broker-dealer issues,AML, depository issues, corporate financing,customer financial transactions,cybersecurity, mergers, acquisitions &business transfers, municipal advisorregulation, municipal securities, mutualfunds, private placements, IPOs, SEC filings,variable annuities, and more.

CE for Insurance License Holders