Depending upon the nature of the complaint, the investigation may require: (1) access to the CPE program sponsor’s participation records; (2) review of the CPE program sponsor’s promotional materials; and (3) in some instances, an independent review of a program offered by the CPE program sponsor.
If the complaint involves an administrative infraction, NASBA will request that the CPE program sponsor correct the problem and provide evidence that appropriate action has been taken. If the complaint involves program content, NASBA may designate a representative to participate in and evaluate a program offered by the CPE program sponsor. The identity of the NASBA representative will not be made known to the CPE program sponsor when the representative registers to take the program. The CPE program sponsor will be required to reimburse NASBA for the cost of the representative’s program participation/registration and any related travel expenses.
CPE program sponsors will be notified of any complaints registered against them. If the investigation indicates that the CPE program sponsor has not violated the Standards or other National Registry program requirements, then the investigation will be closed and a notification to that effect will be delivered to the CPE program sponsor. If the investigation indicates that violations have occurred, then the CPE program sponsor will be required to correct violations within 60 days of notification. Serious violations that cannot be readily corrected will result in the removal of the CPE program sponsor from the National Registry. CPE program sponsors who do not respond to the National Registry’s request to correct violations or who fail to provide evidence that they have taken appropriate action within the 60-day period will also be removed from membership in the National Registry.