Overview: Designed for professionals new to the industry and those wanting to solidify their foundational knowledge of the Investment Advisers Act of 1940 and related rules.
Value: Delivers a core level of compliance professional competence.
Timeline: 12 months to complete the program.
Requirements: 10 required courses plus the submission of an Ethics assessment.
What you earn: Certificate of Achievement.
Education next step: Transfer courses and Ethics assessment to the IACCP Program within 12 months of completing the IA Core Program.
Required compliance education – 10 (2 hour) courses
Advisers Act (Six Required Courses)
- AA01: Introduction to the Advisers Act: Framework; Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers; and More
- AA02: Books and Records Requirements for Investment Advisers
- AA03: Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
- AA04: Understanding Fiduciary Duties and a Sweep of the Anti-Fraud Provisions of the Advisers Act
- AA05: Advisers Act Anti-Fraud Rules: Custody, Political Contributions, and Proxy Voting Requirements
- AA06: Compliance Program Rules and Strategies for Managing Your Annual Review
Ethics (Two Required Courses)
- ETH01: Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers
- ETH02: Professional Ethics: Ethical Decision-Making for Compliance Professionals
Disclosure (Two Required Courses)
- DIS01: Form ADV Part 1: Annual Updating Amendment and More
- DIS02: Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
Additional requirements
- Submission of the Ethics assessment
View the online events calendar here.
Any questions? Please email nrstraining@comply.com