Investment Adviser Representative Continuing Education by RIA Compliance Consultants, Inc.

Refund Policy

Client satisfaction is our goal. Please contact us if you have any questions or concerns about your IAR CE course.

Self-Study Courses

For online self-study courses, you can request a transfer to a different online course at no charge by contacting us within 48 hours of starting the course. Our knowledgeable IAR CE staff will assist with your questions and can help you find an IAR CE course in our catalogue that is a better fit for your needs. If no course in our catalogue currently fits your needs, you may be issued a Course Transfer Access Code, which will entitle you to select another course at any time within twelve months of the original purchase.

Live Courses

For in-person or live courses, you can request to transfer to a different course at no charge at any time prior to the course start date.

Course Access Codes (Purchased A La Carte Basis)

Course Access Codes that have been purchased on an a la carte basis and have not been redeemed cannot be refunded but may be rolled over to the subsequent calendar year or, on your request, transferred to another individual. This does not apply to Course Transfer Access Codes provided by our staff or Course Access Codes provided under an Annual Compliance Program.

Course Access Codes (Provided under our Annual Compliance Program)

Course Access Codes that have been provided to you as part of an Annual Compliance Program must be redeemed and utilized by an investment adviser representative registered with your firm during the term of the Annual Compliance Program (“ACP”) with RIA Compliance Consultants. Any such Course Access Codes which have not been redeemed and used by your firm’s investment adviser representatives during the ACP term cannot be refunded or transferred.

Course Transfer Access Codes

Course Transfer Access Codes must be redeemed within one year of the original purchase and are limited to the original continuing education unit purchased. For example, a transfer request for a one credit-hour course will entitle the recipient to select a different one credit-hour course.

All Courses

Courses are non-refundable and expire after twelve months regardless of whether the student has successfully completed the course. No refunds or transfers will be granted (i) more than 48 hours after a course has been started or, in the case of a live course, after the course start date, (ii) after a course has been completed, or (iii) after continuing education credits have been earned.