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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, Target Date Funds, Plan Design Features, Defined Benefit Plans or Defined Contribution Plans.

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 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 are also authorized for access to the Retirement Learning Center resources and 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 (2017, 6 Hours In Person, 6 Hours Self Study)
July 18 - 19, 2017, 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
3ethos - The Leadership Boot Camp for Investment Stewards (2017)
The Leadership Boot Camp for Investment Stewards is an intensive 2.5-day training program based on the LeaderMetrics® framework, and is conducted in affiliation with The Thayer Leader Development Group at West Point.
Click here to visit the Web Site for more details.
Merrill Lynch Conferences & Meetings (2017, Hours Vary)
Merrill Lynch Conferences and Meetings, such as the Retirement Benefits Consultants Annual Event, Retirement Roundtable, and the GWRS National Specialist Meetings are approved for various hours. Please submit the agenda specific to your event and we will review it.
RPAG Regional Meetings (2017, Hours Vary)
Various Dates & Locations
Click here to visit the Web Site for more details.
The regional Spring Summits are a more intimate setting for you and your staff to network with other RPAG members, the RPAG team and provider partners while learning how to maximize our advisor platform. Roll up your sleeves for hands-on training, expert panels and presentations on the technology and resources you’ll use every single day. The 2017 Spring Summits will see an expansion to our coverage with visits to Orange County (CA), San Francisco, Chicago, Boston, Philadelphia and Atlanta.
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/ASPPA 401(k) Summit (2017, 6 Hours In Person)
March 19 - 21, 2017, Las Vegas, NV
Click here to visit the Web Site for more details.
Attendees of the 2017 Summit have a unique opportunity to connect with other industry leaders and professionals to gain insight on the challenges that those dealing with 401(k) plans are facing. After daytime educational sessions and networking, attendees will participate in exciting SUMMIT After Dark events.
UNIFIED TRUST Advisor Symposium (2017, 8 Hours In Person)
April 20 - 21, 2017, St. Louis, MO
Click here to visit the Web Site for more details.
The purpose of the Unified Trust Advisor Symposium is to equip you to deliver a new value proposition to your clients. The marketplace for qualified plan services is intensely competitive, yet only a handful of advisors can truly claim that they are improving the outcome for the participants. Our goal at Unified Trust is to work with those advisors that want to focus on participant outcomes, and we want to help educate the advisor that wants to get there.
Fi360 Annual Conference (2017, 6 Hours In Person)
May 21 - 23, 2017, Nashville, TN
Click here to visit the Web Site for more details.
Every year, over 600 of the industry’s leading financial service professionals attend fi360's annual conference to build upon their professional knowledge by participating in a series of insightful learning sessions, innovative workshops, and engaging in thought-provoking discussions.
PLANSPONSOR National Conference (2017, 6 Hours In Person)
June 7 - 9, 2017, Washington, DC
Click here to visit the Web Site for more details.
The conference will help you identify key priorities for retirement plan success and will cover topics relevant to plans of all sizes and across all areas of administration—whether you come from the finance or a human resources (HR) department, from an investment or an administrative committee. And while the conference will continue to provide a strong focus on the challenges facing defined contribution (DC) plan sponsors, we have included a number of sessions that address defined benefit (DB) plan management and investing, health insurance cost concerns, nonqualified plan innovations, and more.
NAPA DC Fly-In Forum (2017, 6 Hours In Person, 6 Hours Self Study)
July 18 - 19, 2017, 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.
Morningstar ETF Conference (2017, 6 Hours In Person)
September 6 - 8, 2017, Chicago, IL
Click here to visit the Web Site for more details.
RPAG National Conference (2017, 6 Hours In Person)
September 10 - 12, 2017, Dana Point, CA
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.
PLANADVISER National Conference (2017, 6 Hours In Person)
September 11 - 13, 2017, 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.

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