Attend our Investment Adviser Certified Compliance Professional® Program Symposium, and be half way to completing your IACCP® coursework.
Overview
Complete half the IACCP® Program coursework in 4 days
Attend our Investment Adviser Certified Compliance Professional® Program Symposium, and be half way to completing your IACCP® coursework.*
Designed to go beyond the IA Core Compliance program courses, the IACCP® symposium focuses on the remaining curriculum allowing an attendee to fast track their completion of the program course requirements or provide non-program enrollees a structured continuing education** event on topics beyond the foundational rules of the Investment Advisers Act of 1940.
Instructors will take you through 10 educational sessions over four days, covering key investment adviser regulations and compliance program administration. These include:
- 3 sessions on Investment Adviser Trading.
- 2 sessions on Mandates beyond the Investment Advisers Act.
- 2 sessions on Performance Advertising and GIPS.
- 1 session each on SEC Examinations, CCO Liability, Private Fund Compliance Considerations, and Critical Skills for High-Performance Compliance Professionals.
attendee comments
The symposium is my go-to for getting my continuing education credits for my IACCP® designation. These sessions are always packed with a lot of good and practical information.
– NRS Summer 2020 IACCP® Program Symposium
This program is the only one I have found so far that covers Investment Adviser specific information. It was also an opportunity to fast track my IACCP® education, which was a bonus!
– NRS Summer 2020 IACCP® Program Symposium
disclosures
*The other 10 courses out of 20 course IACCP® curriculum are offered in our four-day Investment Adviser Core Compliance Program Symposium in April and July or through weekly course webinars. By attending this symposium in conjunction with one of the IA Core Compliance Program symposia, you will have completed all of the required coursework in as little as eight (8) days and be eligible for the IACCP® designation exam.
**Many of the symposium sessions are approved CE for other industry designations and professional certifications. See the Continuing Education Credit tab for more information.
The COMPLY IACCP® and IA Core Compliance Programs are co-sponsored with the IAA Investment Adviser Association.
Agenda
| Jul. 15 10 a.m. – 12 p.m. |
Mandates Beyond the Advisers Act: AML, ERISA, & ’34 Act Reporting |
| Jul. 15 1 – 3 p.m. |
Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity |
DAY 2
| Jul. 16 10 a.m. – 12 p.m. |
Trading Practices, Portfolio Compliance and Related Enforcement Cases |
| Jul. 16 1 – 3 p.m. |
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage |
DAY 3
| Jul. 17 10 a.m. – 12 p.m. |
Two Trading Compliance Challenges: Valuation and Trade Errors |
| Jul. 17 1 – 3 p.m. |
Investment Adviser Marketing Rule |
DAY 4
| Jul. 18 10 a.m. – 12 p.m. |
Critical Skills for High-Performance Compliance Professionals |
Please note that this agenda is subject to change
Speakers
Coming soon.
Continuing Education Credits
National Regulatory Services (NRS) conferences and seminars 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, email nrstraining@comply.com.
COMPLY Continuing Education Guide
Recommended IACCP® CE Credit: 20
Recommended CPE Credit: 20 in the Regulatory Ethics field of study
Recommended CA MCLE Credit: 20
Recommended CFP® Credit: 10
