Overview
Attend our virtual Investment Adviser Core Compliance Program Symposium right from the comfort of your home or office and complete the coursework in 4 days!
Designed for professionals new to the Investment Adviser industry as well as those wanting to solidify their knowledge of the Investment Advisers Act of 1940 and its related rules, the Investment Adviser Core Compliance Program Symposium is structured to provide interactive compliance education led by seasoned legal and compliance industry experts.
Compliance professionals interested in the Investment Adviser Certified Compliance Professional (IACCP®) Program or Investment Adviser Core Compliance Program, as well as IACCP® designees looking to receive continuing education credits will find this symposium beneficial.
Instructors will take you through 10 educational sessions over four days, covering key sections of the Investment Advisers Act of 1940 and related rules. These include:
- 6 sessions on the Advisers Act
- 2 sessions on Investment Adviser disclosures
- 2 sessions on Investment Adviser ethics
Attend our virtual Investment Adviser Core Compliance Program Symposium right from the comfort of your home or office and complete the coursework in 4 days!
attendee comments
Speakers were able to cover a lot of material in an effective way, making it easy to digest the material.
– NRS Summer 2020 Investment Adviser Core Compliance Program Symposium
Excellent and informative. Good insight into different considerations based on new work environment and previously untested contingencies.
– NRS Summer 2020 Investment Adviser Core Compliance Program Symposium
disclosures
*Many of the symposium sessions, including Ethics, are approved CE for other industry designations and professional certifications. See the Continuing Education Credit tab for more information.
The NRS IACCP® and IA Core Compliance Programs are co-sponsored with the IAA Investment Adviser Association.
Agenda
| DAY 1: Tuesday, April 11 | |
| 9:45 AM – 10:00 AM (ET) | Day 1 Introductions |
| 10:00 AM – 12:00 PM (ET) | Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More |
| 1:00 PM – 3:00 PM (ET) | Books and Records Requirements for Investment Advisers |
| 3:00 PM – 3:15 PM (ET) | Day 1 Symposium Wrap-up |
| DAY 2: Wednesday, April 12 | |
| 9:45 AM – 10:00 AM (ET) | Day 2 Introductions |
| 10:00 AM – 12:00 PM (ET) | Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts Part 1 |
| 1:00 PM – 3:00 PM (ET) | Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act |
| 3:15 PM – 5:15 PM (ET) | Advisers Act Anti-Fraud Rules: Custody, Political Contributions, and Proxy Voting Requirements |
| 5:15 PM – 5:30 PM (ET) | Day 2 Symposium Wrap-up |
| DAY 3: Thursday, April 13 | |
| 9:45 AM – 10:00 AM (ET) | Day 3 Introductions |
| 10:00 AM – 12:00 PM (ET) | Form ADV Part 1: Annual Updating Amendment and More |
| 1:00 PM – 3:00 PM (ET) | Form ADV Part 2 and 3: Identifying and Disclosing Conflicts |
| 3:15 PM – 5:15 PM (ET) | Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers *Qualifies for IACCP® General CE credits. |
| 5:15 PM – 5:30 PM (ET) | Day 3 Symposium Wrap-up |
| DAY 4: Friday, April 14 | |
| 9:45 AM – 10:00 AM (ET) | Day 4 Introductions |
| 10:00 AM – 12:00 PM (ET) | Professional Ethics: Ethical Decision-Making for Compliance Professionals *Qualifies for IACCP® Ethics CE credits. |
| 1:00 PM – 3:00 PM (ET) | Compliance Programs Rules and Strategies for Managing Your Annual Review |
| 3:00 PM – 3:15 PM (ET) | Day 4 Symposium Wrap-up |
Please note that this agenda is subject to change
Speakers
Coming soon.
Continuing Education Credits
National Regulatory Services (NRS) conferences, symposia and webinars are designed to meet criteria for continuing education credits for attorneys, CPA/accountants, certified financial planners, IACCP® designees and other compliance and legal professionals.
NRS is listed on the National Association of State Boards of Accountancy (NASBA) Registry as an Approved Provider of CPE credits for accountants and as a sponsor of CFP continuing education credits with the Certified Financial Planner Board of Standards. The State Bar of California recognizes NRS as an approved provider of CLE credits for attorneys. CLE credits are available for most other states and may vary according to your state’s regulations.
For more information on continuing education or the NRS Financial Hardship Policy,
call 1‐860-435-0200 or email continuinged@nrs-inc.com.
NRS Continuing Education Guide
Maximum recommended credit hours for the 4-day Symposium: T.B.D.