Developmental learning is important in assisting in your continued growth and industry knowledge while also fulfilling regulatory requirements. All IPI
and IPI Wealth Management advisors will be required to complete the Annual Compliance Meeting, Annual Compliance Questionnaire and up to four (4) Firm
Element Courses for 2015. The courses are again being offered through Quest CE this year. On July 7, 2015, you will receive
an email from Quest providing instructions on how to access your Quest account. You will also have the option to purchase Insurance CE courses directly
from your Quest account.
Yes, Compliance actually does listen! We heard your recommendations from 2014 in centralizing the completion of the separate documents for items like:
Outside Business, Outside Accounts, Insider Trading, Private Securities Transactions, WSP attestation, Gifts and Gratuities, etc. into one document.
Therefore, we have worked to customize your Annual Compliance Questionnaire to include these annual attestation requirements. The attestations will
be completed in one easy and succinct session through Quest CE.
Additionally, for those advisors who attended the Compliance session(s) at the IPI Advance meeting in Las Vegas and/or the IPI Annual Conference in Indianapolis,
we wanted to provide you a benefit from your participation at these meetings. Those advisors will receive up to two (2) credits of IPI Firm Element
CE for attending the Compliance presentations (1 credit per each session attended). Therefore, if you only went to Indy and attended the Compliance
portion on Friday, June 19 between 8-9am EST then you will receive 1 credit and only have to complete three (3) of the four (4) Firm Element courses.
If you were in Vegas and Indy and attended both Compliance sessions, you will receive 2 credits and only be required to complete two (2) of the four
(4) Firm Element courses. If you were at either/both of those events, but failed to attend the actual Compliance sessions, you will not receive credit.
We appreciate your understanding and respect for these parameters in advance as this is a pilot test for us to offer CE credits for these meetings.
Please know that Compliance tracked the attendees at both of these sessions and your course selections will reflect your attendance. Keep in mind also
that learning Compliance through osmosis does not count; your physical body must have been present at the meetings!
The launch of this year’s CE program will start July 7, 2015, with completion required by August 31, 2015. The cost is $75.00 per advisor which includes the Annual Compliance Meeting, Annual Compliance Questionnaire and up to four
(4) Firm Element Courses. The cost will be the same regardless if you take two (2) or four (4) Firm Element Courses. The increase in cost from 2014
of $65 to the 2015 cost is reflective due to the customization of the Annual Compliance Questionnaire.
***Cost of your time to complete/return the 2014 attestations: Varies, but more than $10
Cost for those that did not return the attestations timely in 2014: $100 fine per late attestation
Cost of the Annual Attestations automated through the Compliance Questionnaire: Priceless***
The fee for CE will be deducted from your commission the week ending July 10, 2015. Any questions on the deduction should be directed to Amber Justice,
If you have any questions or concerns about CE, please let us know. Thanks, Renee and Julie C.