The Investment Adviser Certified Compliance Professional (IACCP) onsite events and webinars are designed to meet criteria for continuing education credits for compliance professionals, CPAs/accountants, attorneys and other professionals. COMPLY 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 CE Quality Partner and sponsor of CFP® continuing education credits with the Certified Financial Planner Board of Standards. The State Bar of California recognizes COMPLY as an approved provider of MCLE credits for attorneys.
NOTE: Continuing education credits for webinars delivered in real-time can only be awarded to participants who have registered for and are logged in to the webinar as themselves, participated during the webinar, and submitted the evaluation form upon webinar completion. Check your credential’s policy regarding continuing education credits for pre-recorded webinars.
Continuing Professional Education (CPE) Sponsor (CPAs/Accountants) – NASBA Sponsor # 103452
The Registry is a program developed by the National Association of State Boards of Accountancy (NASBA) to recognize sponsors for their ability to meet nationally accepted standards for continuing professional education. As a sponsor of CPE programs, COMPLY is responsible for offering programs of high quality, providing accurate and up-to-date course content, and ensuring effective delivery of the material. As a registered sponsor, COMPLY has demonstrated its ability to meet the standards of CPE that have been established for the accounting profession, as well as its commitment to a national system that promotes the delivery of high quality continuing professional education nationwide.
COMPLY 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 the final authority on the acceptance of individual course for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.
A program evaluation form must be submitted to receive a CPE Certificate of Completion. Live events require either signing of the CPE Official Record of Attendance at the registration desk or use of the event app to document attendance. To earn the full 2 CPE credits for each 2-hour event, attending for at least 100 minutes and answering a minimum of six (6) polling questions is required.
Minimum Continuing Legal Education (MCLE) Approved Provider (Attorneys) State Bar of California – Provider #2569
States have widely varying regulations regarding Continuing Legal Education (CLE) credit. Please check here for CLE availability and rules in your state(s).
As an Approved Provider of MCLE by the State Bar of California Committee on Continuing Legal Education, COMPLY continually conducts comprehensive reviews of the methods and standards of course presentation, measurement, development and reporting. In addition to California, other domestic and international jurisdictions require its respective attorneys to obtain CLE credits. A number of these jurisdictions recognize COMPLY’s Approved Provider status in the State of California and accept credits based on the particular jurisdiction’s requirement for credit hours. CLE credits may not be available in those states requiring pre-submission of the course by the sponsor. Other jurisdictions allow for an individual to submit applications. COMPLY will provide the necessary documentation to assist the attorney with the individual submission.
To receive a CLE Certificate of Attendance for an individual submission for CLE credits, you must submit a program evaluation form that includes your CLE identification number. For live events, you must also either sign the CLE Official Record of Attendance at the COMPLY registration desk or use the event app to document attendance.
Certified Financial Planners (CFP®) Sponsor – Sponsor ID #922
COMPLY is a CFP® Continuing Education Quality Partner and Sponsor of Continuing Education credits, which are approved by the Certified Financial Planner Board of Standards. CFP® credits are posted electronically on the CFP® website. Certain IACCP and COMPLYConnect Conference and Expo onsite events and webinars are submitted for approval for CFP® credits.
To have credits for approved courses posted to your account on the CFP® website, and to receive a CFP® Certificate of Attendance, you must have a CFP® identification number, and must submit a program evaluation form that includes your CFP® identification number. For live events, you must also sign the CFP® Official Record of Attendance at the COMPLY registration desk after each session you attend or use the event app to document attendance.
Investment Adviser Certified Compliance Professional (IACCP®) Designees
COMPLY Is the provider for the Investment Adviser Certified Compliance Professionals (IACCP). COMPLY is an approved provider of continuing education programs for the Investment Adviser Certified Compliance Professionals (IACCP). To maintain the designation, an IACCP Designee is required to complete 12 professional continuing education (CE) credits each year. Two (2) of the 12 credits must be earned by attending an approved ethics program(s). All credits can be earned by attending qualified educational programs offered through COMPLY, the Investment Adviser Association, or other industry educational providers. For more information about how to receive IACCP CE credits, please see the IACCP CE Guide.
To learn more about the COMPLY Financial Hardship Policy, e-mail: nrstraining@comply.com.
For more information, please email nrstraining@comply.com.