COMPLAINT POLICY

The Rocky Mountain Association for Financial Professionals (RMAFP) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417. Web site: www.nasba.org

GENERAL INFORMATION

All of RMAFP's programs, including monthly events and annual conference, are Group Live Method of Delivery.

ADVANCE PREPARATION

No advance preparation is needed for RMAFP's programs, including monthly events and annual conference.

ADMINISTRATIVE POLICIES

Record Retention

The RMAFP's current record retention policy states the following:

• All annual accountant review reports, tax return materials and backup and year end financial statements will be kept for 7 years.
• All other membership application, event registration/roster information will be kept for 5 years.
• All CTP, AAP approval forms will be kept for 5 years.
• A historical annual file folder of RMAFP activities will be kept in perpetuity including board roster, event marketing, etc.
• All current NASBA CPE Registry of Sponsors standards will be adhered to.

Refund Policy

For all monthly type events, the cancellation deadline is two business days before the event. A full refund will be given. For cancellations after that point, substitutions are encouraged. Otherwise, no refund will be available due to guarantees with the hotel, restaurant venue.

For the annual conference, the cancellation deadline is 14 business days before the event. After that, substitutions are encouraged. A full refund, less an administrative fee of $50, is available if a substitution is unavailable. The association reserves the right to issue refunds for an Act of God that prevents the event from occurring, including but not limited to snowstorms, etc. This will be dependent on the financial expenses incurred for the event contracts.

PROGRAM CANCELLATION

The association will make every attempt to not cancel an event or program by utilizing qualified substitution speakers, etc. In the case an event is cancelled due to a situation that is unavoidable, a refund will be given to registered participants or a credit towards a future event, to be determined by the current association board of directors.

COMPLAINT RESOLUTION

If any attendee or member has a complaint, they should first seek resolution through the association at mail@rmafp.org or 303-973-2555.

For CPE credit specific complaints, all current NASBA CPE Registry of Sponsors standards will be adhered to including prominent display of exact language on registration documentation in print and web form.

COURSE UPDATE

If any course material significantly changes after submitting and obtaining appropriate CTP and AAP certification renewal credit from AFP, NACHA, a revised course content and sponsor application will be submitted for any necessary adjustments.

For CPE credit specific complaints, all current NASBA CPE Registry of Sponsors standards will be adhered to including appropriate review by a qualified person for initial and updated course or event content.

Non-technical courses are reviewed and updated every two years. Technical courses include: Accounting, Audit, and Tax are updated every year. NOTE: We currently do not have any standard recurring course offerings, so this note does not apply.