COMPLY Online Course & Education

Continue your regulatory education and certification requirements with our live and on-demand courses.

The 2025 COMPLY Education Course Calendar
Symposium
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Virtual Investment Adviser Core Compliance (IA Core) Program Symposium
Tuesday February 4, 2025 10:00 am
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
Compliance Professional Summit
Thursday December 19, 2024 1:00 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Compliance Programs Rules and Strategies for Managing Your Annual Review
Tuesday December 17, 2024 1:00 pm
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and...
Thursday December 12, 2024 1:00 pm
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
Tuesday December 10, 2024 1:00 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Form ADV Part 1: Annual Updating Amendment and More
Thursday December 5, 2024 1:00 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Two Trading Compliance Challenges: Valuation and Trade Errors
Tuesday December 3, 2024 1:00 pm
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Course
RIA Year-End Compliance Check-up
On-demand
ON-DEMAND LIBRARY LEARN MORE
Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, and Proxy...
Thursday November 21, 2024 1:00 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of...
Tuesday November 19, 2024 1:00 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
On-demand
ON-DEMAND LIBRARY LEARN MORE
Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Books and Records Requirements for Investment Advisers
On-demand
ON-DEMAND LIBRARY LEARN MORE
Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Introduction to the Advisers Act: Framework, Registration, Exclusions and More
On-demand
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
Critical Skills for High-Performance Compliance Professionals
Oct 24, 2024
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
Oct – Professional Ethics: Ethical Decision-Making for Compliance...
Oct 23, 2024
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