Payment for COMPLY IACCP and Core Compliance Programs is due immediately upon enrollment or when invoiced.
Enrollees in the Investment Adviser Core Compliance Program must complete all courses within twelve (12) months of the initial Program enrollment.
Enrollees in the Investment Adviser Certified Compliance Professional (IACCPSM) Program must complete all courses within eighteen (18) months of the initial Program enrollment.
Any fees paid for courses not completed within the time allowed under this Agreement shall be forfeited.
Application fee of $75.00 for the enrollment in the Investment Adviser Certified Compliance Professional (IACCPSM) Program is non-refundable.
Cancellation of Program Enrollment
Written notice of cancellation of Program Enrollment is permitted within 30 days of purchase. Candidates who cancel within 30 days of purchase date are entitled to a full refund of enrollment fees paid minus $150 administrative fee, or full refund of COMPLY credit to be used within 12 months from date of purchase. Any outstanding COMPLY credit not used within 12 months of purchase date will be forfeited.
With the exception of documented emergencies or extenuating circumstances, no requests for refunds or credits can be processed unless written communication has been received within 30 days of purchase. E-mail: nrstraining@comply.com
Program Cancellation on Part of the Sponsor:
In the event a planned and advertised COMPLY event must be cancelled by COMPLY,
enrollees will have the option to:
COMPLY assumes no liability for any costs, charges or penalties incurred by the attendees (e.g. airfare) should an COMPLY event sell out, be cancelled or rescheduled.
Contact for COMPLY Education:
For more information regarding program policies such as complaint and refund, please contact COMPLY at nrstraining@comply.com.