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Continuing Education:  CE Policy

Purpose of This Document: To provide guidance on the renewal and certification policies that apply to the C(k)P® Designation.

Certification Renewal Requirements Overview
The C(k)P® Standards Committee requires that after meeting the requirements of the program, passing the Designation Exam, and being authorized to use the C(k)P® Designation, the designee must renew the Designation each calendar year in order to ensure the knowledge base of the C(k)P® Designation holder and to encourage the designee to learn in both a productive and efficient manner. C(k)P® designees are required to remain current with Continuing Education (CE) requirements and all program fees.

TRAU accepts work from the following areas and topics for Continuing Education:  Retirement, Behavioral Finance, Investments, Ethics, Retirement Readiness, Improving Participant Outcomes, Longevity, Aging, Target Date Funds, Plan Design Features, Defined Benefit Plans or Defined Contribution Plans.

2020 CE Policy Update Alert
Due to the unusual times we are experiencing across the United states and the cancellation of many in-person meetings, conferences and gatherings, TRAU has decided to suspend the “In-person” meeting requirement associated with the TRAU C(k)P Designation.

The Retirement Advisor University still believes in the inherent benefits of Advisor Education in-person CE for those who hold the C(k)P Designation; however, the current lack of availability of in-person meetings across the country makes the 6 hour In-person CE requirement, per year, difficult for C(k)P Designation holders.

TRAU will continue to require a total of 12 hours of Continuing Education Credits for calendar year 2020, but the requirement around the type of CE credits will no longer include In-person Education.

Continuing Education Requirements
Each C(k)P® designee must obtain a minimum of 12 hours of continuing education each calendar year.

The 12 hours of Continuing Education consists of:

  • 6 hours of Self-Study; 
  • 6 hours of In-Person Education (see 2020 CE Policy Exception above)
See below for pre-approved education and events.

CE Hours Tracking
Cycle CE Hours must be obtained and submitted by self-reporting them to using the CE Submission Form by December 31 of each calendar year.  

Annual Invoicing / Fee Schedule
There is a single annual payment due from C(k)P Designees.  After completion of all coursework and designation requirements, a designee will begin participating in all of the benefits afforded every C(k)P Designee.

Upon earning the C(k)P Designation, the designee will be invoiced a single annual fee of $480.00 which includes all Continuing Education, Profile access to the TRAU Registry for holding the C(k)P Designee Bio, all CE Cross-reporting and recordkeeping, and Co-branding. C(k)P Designees also have access to the TRAU Lecturers. Fee is due and payable on the 1st day of month following the authorization to use the C(k)P Designation and on the same month in consecutive years.

Objectives
One of the objectives of the C(k)P Designation is to make it simple for Plan Sponsors to identify, contact and work with Retirement Plan Advisors who have made a strong commitment to the Retirement Plan Industry. See your name and firm as listed on the TRAU Website. We employ a plan sponsor outreach program, through our sister organization The Plan Sponsor University (TPSU), whereby we use C(k)P designees to educate the plan sponsor community. These educational programs are delivered on the campuses of colleges and universities throughout the country. The C(k)P Designation has been highlighted at over 30 educational institutions. Our outreach to plan sponsors includes highlighting C(k)P Designation holders via U.S. mail, email, and direct invitations to TPSU Fiduciary Education.

Inquiries
All questions regarding Continuing Education for the C(k)P Designation can be sent to CE@TRAUniversity.com.
Self Study
Case Study Submission (6 Hours)
The Case Study is a 600 word essay or analysis on how you have used Behavioral Finance, Decision Making Theory, Crafting/Shaping the Future, Fiduciary Education, Washington Update, or other TRAU course content to improve outcomes for your Plan Sponsor clients or Plan Participants.
Online Courses (Non-TRAU)
Non-TRAU Retirement-Oriented Courses can be submitted for CE and are subject to approval. Here are some of examples of where Training and Courses are provided by and have been previously approved: AIF, ASPPA, CEBS, CFP, CIMA, Morningstar, & Broker Dealer Due Diligence Programs).
TPSU AL Training (6 Hours In Person, 6 Hours Self Study)
 
TRAU Group Study Session (GSS, 6 Hours In Person, 6 Hours Self Study)
TRAU Group Study Session (or GSS) where both Levels 2 & 3 courses are covered in an in-person group study setting. Group Study Session are generally held prior to the scheduled TRAU UCLA Campus Sessions, but are offered at various other times in different regions of the country.
Click here to visit the Web Site for more details and a schedule of upcoming programs.
TRAU Learning Management System (LMS, Online Courses)
Online Courses taken on the TRAU Learning Management System (or LMS). Elective and newly added courses in the LMS can be taken and must be self reported for 1 hour of CE credit per course.
TRAU Master Class (6 Hours In Person, 6 Hours Self Study)
The TRAU Master Class focuses on helping elite advisors to better manage their retirement practice through a two-day interactive study group. Participants will leave with a personalized business plan and will receive the assistance of a business coach trained and overseen by TRAU.
Click here to visit the Web Site for more details and a schedule of upcoming programs.
TRAU Practice Management Institute (TPMI, 6 Hours Self Study)
TRAU Practice Management Institute or TPMI programs provides a total of 6 C(k)P CE credits hours in any combination of In-Person/Self Study.
Click here to visit the Web Site for more details and a schedule of upcoming programs.
TRAU Status Call (Webinar, Presentation, Hours Vary)
TRAU Status Calls are held quarterly and offer a 1 hour presentation which may be submitted for either Self Study or In Person CE hours. To be approved submissions must include all codes provided throughout the call/presentation.
Click here to visit the Web Site for more details and a schedule of upcoming presentations.
TRAU UCLA Campus Session (6 Hours In Person, 6 Hours Self Study)
You must attend a TRAU UCLA Campus Session while already holding the C(k)P Designation.
Click here to visit the Web Site for more details and a schedule of upcoming programs.
NAPA DC Fly-In Forum (2020, 6 Hours In Person, 6 Hours Self Study)
July 21 - 22, 2020, Washington, DC
Click here to visit the Web Site for more details.
The NAPA DC Fly-In Forum is a convergence of elite advisors committed to helping understand, advocate and align the industry’s goals with the national policymakers who matter.
In Person
Merrill Lynch Conferences & Meetings (Hours Vary)
Merrill Lynch Conferences and Meetings, such as the Retirement Benefits Consultants Annual Event, Retirement Roundtable, GWRS National Specialist Meetings, RBC Events, and monthly RAFA Calls are approved for various hours. Please submit the agenda for the specific event you are self-reporting if the hours have not been pre-approved and we will review it.
TPSU AL Training (6 Hours In Person, 6 Hours Self Study)
 
TRAU Group Study Session (GSS, 6 Hours In Person, 6 Hours Self Study)
TRAU Group Study Session (or GSS) where both Levels 2 & 3 courses are covered in an in-person group study setting. Group Study Session are generally held prior to the scheduled TRAU UCLA Campus Sessions, but are offered at various other times in different regions of the country.
Click here to visit the Web Site for more details and a schedule of upcoming programs.
TRAU Master Class (6 Hours In Person, 6 Hours Self Study)
The TRAU Master Class focuses on helping elite advisors to better manage their retirement practice through a two-day interactive study group. Participants will leave with a personalized business plan and will receive the assistance of a business coach trained and overseen by TRAU.
Click here to visit the Web Site for more details and a schedule of upcoming programs.
TRAU Practice Management Institute (TPMI, 6 Hours In Person)
TRAU Practice Management Institute or TPMI programs provides a total of 6 C(k)P CE credits hours in any combination of In-Person/Self Study.
Click here to visit the Web Site for more details and a schedule of upcoming programs.
TRAU Status Call (Webinar, Presentation, Hours Vary)
TRAU Status Calls are held quarterly and offer a 1 hour presentation which may be submitted for either Self Study or In Person CE hours. To be approved submissions must include all codes provided throughout the call/presentation.
Click here to visit the Web Site for more details and a schedule of upcoming presentations.
TRAU UCLA Campus Session (6 Hours In Person, 6 Hours Self Study)
You must attend a TRAU UCLA Campus Session while already holding the C(k)P Designation.
Click here to visit the Web Site for more details and a schedule of upcoming programs.
NAPA 401(k) Summit (2020, 6 Hours In Person)
April 26 - 28, 2020, Orlando, FL
Click here to visit the Web Site for more details.
The NAPA 401(k) Summit is the nation’s largest and most prestigious retirement plan advisor event, and the only industry convention that brings you actionable, unbiased content designed for advisors by advisors.
UNIFIED TRUST Advisor Symposium (2020, 8 Hours In Person)
May 13 - 15, 2020, San Antonio, TX
Click here to visit the Web Site for more details.
Since 2012, Unified Trust has hosted the annual Advisor Symposium as an educational conference for retirement plan advisors to learn the latest in industry trends and equip them with tools to further develop their business models and position themselves in a crowded marketplace. Each year, the agenda for the Advisor Symposium is curated to reflect topics relevant to advisors in the evolving industry landscape - moving to a new city each conference - to provide a truly custom educational and networking experience. Advisors in attendance take part in sharing best practices and their unique perspective on the industry with other advisors, including first-time attendees and those who have attended multiple years.
Fi360 Annual Conference (2020, 6 Hours In Person)
May 17 - 19, 2020, Austin, TX
Click here to visit the Web Site for more details.
Founded in 2004, the Fi360 Conference was originally designed to deliver designees with the practical, fiduciary-based content they desired to advance their practice. In just a few short years, the agenda grew to boast over 35 unique, educational sessions taught by some of the most sought-after industry leaders. As a result, financial service professionals from all over the world asked to participate in the event.

Today, the Fi360 Conference hosts over 800 investment professionals who are looking to grow their fiduciary knowledge base by participating in insightful learning sessions, innovative workshops and thought-provoking discussions.
Morningstar Investment Conference (2020, 6 Hours In Person)
June 3 - 5, 2020, Chicago, IL
Click here to visit the Web Site for more details.
The Morningstar Investment Conference is designed to help investing professionals recognize lessons from the past, understand what’s happening right now, and peek around the corner to see what’s next.
PLANSPONSOR National Conference (2020, 6 Hours In Person)
June 8 - 10, 2020, Orlando, FL
Click here to visit the Web Site for more details.
The PLANSPONSOR National Conference brings together a true cross section of the industry: Plan sponsors, retirement plan advisers and providers that support plans and participants meet, also getting to dialog with legislative, legal and policy thought leaders.

As always, the conference agenda will cover current trends and best practices, while discussing what lies ahead in retirement plan design, participant engagement and education, and investment options and solutions, as well as, of course, legislative and regulatory updates. Regardless of your retirement plan sponsor position—whether you work on the finance, treasury or human resource (HR) side of the retirement plan—the PLANSPONSOR National Conference is right for you! If you’re an adviser, the PLANSPONSOR National Conference helps you stay in touch with the challenges your clients face. Join your peers to discuss practical, creative solutions for your plans and participants.
NAPA DC Fly-In Forum (2020, 6 Hours In Person, 6 Hours Self Study)
July 21 - 22, 2020, Washington, DC
Click here to visit the Web Site for more details.
The NAPA DC Fly-In Forum is a convergence of elite advisors committed to helping understand, advocate and align the industry’s goals with the national policymakers who matter.
PLANADVISER National Conference (2020, 6 Hours In Person)
September 14 - 16, 2020, Orlando, FL
Click here to visit the Web Site for more details.
The PLANADVISER National Conference (PANC) is the retirement planning industry’s premier networking and business strategy event! Annually, top industry professionals from across the U.S. gather in Orlando, Florida, for half a week of discussion and debate about the cutting edge of defined contribution (DC) plans, practice management tools and institutional investments. Whether you’re looking for fresh perspectives, a new provider partner or even the next adviser teammate, PANC is the place to vault your practice to the next level.
RPAG National Conference (2020, 6 Hours In Person)
Date TBD, Location TBD
Click here to visit the Web Site for more details.
The RPAG National Conference provides an accelerated exchange of information between our members and industry experts on progressive ways to drive revenue and profitability while building scale.
RPAG Regional Meetings (Hours Vary)
Various Dates & Locations
Click here to visit the Web Site for more details.
The regional Spring Summits are two-day, roundtable-style events where you and your staff can network with other RPAG members, the RPAG team, and our partners — all while you learn how to maximize the differentiators that make you competitive in your market. Roll up your sleeves for hands-on training and attend all the expert panels and presentations on the technology and resources you'll use every single day.

First Year Designees

CE Hours will be prorated one hour per month. See chart below:

MONTH EARNED HOURS
NEEDED
BY 12/31
   January 12
   February 11
   March 10
   April 9
   May 8
   June 7
   July 6
   August 5
   September 4
   October 0
   November 0
   December 0