The number – and complexity – of regulations affecting the investment adviser industry is increasing at a rapid pace. The result? A need for qualified compliance professionals to competently implement compliance programs that fulfill regulatory obligations. COMPLY’s education programs, formerly known as NRS Education, is the solution to that need.
Co-sponsored by the Investment Adviser Association, COMPLY’s education programs provide industry compliance professionals with recognized credentials, providing guidance to help firms build a strong compliance program with industry-recognized best practices.
On-demand online learning provides the opportunity for busy compliance professionals to take advantage of valuable and insightful information presented during COMPLY live online courses at their own convenience.
IACCP Desktop-on-Demand webinar recordings and recordings of COMPLY Education courses after the “live” event will qualify for IACCP CE credit upon submission of the Attestation Form.
COMPLY is recognized as a regulatory and compliance continuing education approved provider by:
“I was blown away at how well put together the sessions were. I have been to many conferences, this one did a great job of providing basic info for those new to the industry, yet also provided lots of insight for seasoned folks to learn something.” – Ken Dunn, AVP/Compliance, Broker-Dealer CCO with Pacific Select Distributors
“Always great to come learn and have some fun. I enjoyed connecting with others that relate to me most.” – Joni Gall, Chief Compliance Officer of Fortitude Financial, Conference Attendee
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Achieve and maintain industry designations, advancing your career and bolstering your firm’s compliance program with best-in-class educational resources.
Register for COMPLY’s upcoming education courses for expert insight into key compliance areas and how to adapt your program to meet new requirements.
