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CE Audit

Each month, a sample of certified CIMA®, CIMC®, CPWA®, and RMA® holders will be selected for audit at random. Audited individuals will have 30 days to provide documentation that substantiates proof of completion, content and clock time for all CE that is under audit.

Certificants need only verify CE Sponsored CE and Self-Reported CE. Premier CE offered by Investments & Wealth Institute is not subject to audit.


Frequently Asked Questions
 

How will I be notified that my account is under audit?
At the time that your account is selected for audit, you will receive an email communication sent to the primary email address the Institute has on file.

How long do I have to comply with the audit?
Audited individuals will have 30 days from the date of their audit notification email to submit supporting documentation. 

What type of documentation do I need to submit?
You must submit documentation supporting program completion, content and clock time:

  • Proof of Completion: Acceptable documentation from the CE provider includes (1) a certificate of completion with your name, date of completion and program name; (2) a confirmation or email from a conference or event provider verifying your attendance; (3) a sign-in sheet; (4) a final attendee list completed after the conclusion of the event; (5) or a CFP Transcript showing completion of the event. Please note: For conferences, only overall completion is needed, completion documentation for individual sessions is not necessary.
  • Proof of Content: Acceptable documentation supporting proof of content includes clear information about the topics covered, showing that they are in line with our list of Accepted CE Topics. (1) For courses, provide documentation with course title. (2) For conferences provide a final agenda with the sessions you attended marked on the agenda. (3) For course or session titles that are vague, provide detailed content descriptions from the CE provider.
  • Proof of Clock time: Acceptable proof of clock time is documentation from the CE provider that each event lasted a minimum of 50 minutes. CE is awarded based on a minimum 50 minute hour (every 50 minute = 1 CE hour). *Conference sessions that are under 50 minutes in length will be accepted as long as the combined total of conference hours attended are greater than 50 minutes.

Is all of my CE under audit? Which CE course do I need to submit documentation for?
The email communication that you receive at the time the audit is initiated will include a list of the CE under audit that documentation must be submitted for. CE not listed in this communication is not under audit. There is no need to submit documentation for CE not listed in the communication.

If the CE list on the original audit communication is blank, you did not have any reported CE that is eligible for audit. (Only Sponsored CE and Self-Reported CE is eligible for audit). You will receive a follow-up communication verifying that your audit has been closed.

How do I submit my documentation?
All documentation can be submitted by email to recertification@i-w.org or fax 303-770-1812.

What happens when my documentation is approved?
When acceptable documentation is received and approved, you will receive notification that your audit has been successfully completed. The audit will be officially closed and your status will remain Certified in good standing.

What happens if the documentation is not received or documentation submitted is not approved?
If documentation is received but is not in line with the Institute's CE standards, you will be asked to either submit additional documentation or additional completed CE for which you are able to provide appropriate documentation.

In the event that no appropriate documentation is received by the deadline, your certification would be relinquished and your status would be changed to Not Certified. You would no longer be permitted to use the marks. At this point, you would need to go through Reinstatement (see policy here) in order to become certified and be able to use the marks. (Please note that there is no reinstatement option for the loss of the CIMC certification.)
 

For additional questions regarding the CE audit process, please contact the Certification Department at 303-770-3377 or email recertification@i-w.org.