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CE Audit

Audited individuals will have 30 days to provide documentation that supports their completed hours for review and approval. Certificants need only verify Sponsored CE and Self-Reported CE. Premier CE offered by Investments & Wealth Institute will not be audited.


If you are audited, you must provide documentation to substantiate program completion:

  • CONTENT: Final agenda from CE provider with attended sessions marked (for conferences only) and program/session description(s) from CE provider
  • CLOCK TIME: Documentation of 50-minute-minimum session/program length from CE provider
  • COMPLETION: Proof of completion/attendance (attestation from CE provider, “thank you for attending” notification, sign-in sheet, completion certificate or final attendee list). Registration confirmations, travel arrangements and ID badges are not accepted as proof of completion. Official records/transcripts from the CFP Board of Standards, NASBA, and CFA Institute will be accepted as proof of completion.

Audited individuals who do not/cannot provide acceptable documentation to satisfy the audit and subsequently do not have enough CE hours to meet their continuing education requirements may lose the right to hold the certification and will need to reinstate it.