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, 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 NRS IACCP® and IA Core Compliance Programs are co-sponsored with the Investment Adviser Association.
Continuing Education Credit Information for Investment Adviser Compliance Symposia.
Please note:
If you are currently enrolled in our IACCP® or IA Core Compliance program, you may register for available symposium sessions from your program resource center portal and not the event registration page.
Agenda
| DAY 1: Tuesday, July 11 | |
| 12:30 PM – 12:45 PM (CT) | Day 1 Introductions |
| 12:45 PM – 2:45 PM (CT) | Mandates Beyond the Advisers Act: AML, ERISA, & ’34 Act Reporting for Investment Advisers |
| 3:00 PM – 5:00 PM (CT) | Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity |
| 5:00 PM – 5:15 PM (CT) | Day 1 Symposium Wrap-up |
| 5:30 PM – 6:30 PM (CT) | Welcome/Networking Reception |
| DAY 2: Wednesday, July 12 | |
| 8:00 AM – 8:15 AM (CT) | Day 2 Introductions |
| 8:15 AM – 10:15 AM (CT) | Trading Practices, Portfolio Compliance and Related Enforcement Cases |
| 10:30 AM – 12:30 PM (CT) | Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage |
| 12:30 PM – 2:00 PM (CT) | Lunch |
| 2:00 PM – 4:00 PM (CT) | Two Trading Compliance Challenges: Valuation and Trade Errors |
| 4:00 PM – 4:15 PM (CT) | Day 2 Symposium Wrap-up |
| DAY 3: Thursday, July 13 | |
| 8:00 AM – 8:15 AM (CT) | Day 3 Introductions |
| 8:15 AM – 10:15 AM (CT) | Investment Adviser Marketing Rule |
| 10:30 AM – 12:30 PM (CT) | SEC Examination and Enforcement Updates for Investment Advisers |
| 12:30 PM – 2:00 PM (CT) | Lunch |
| 2:00 PM – 4:00 PM (CT) | Game Plan for the New CCO/Interpersonal Skills |
| 4:00 PM – 4:15 PM (CT) | Day 3 Symposium Wrap-up |
| DAY 4: Friday, July 14 | |
| 8:00 AM – 8:15 AM (CT) | Day 4 Introductions |
| 8:15 AM – 10:15 AM (CT) | Critical Skills for High-Performance Compliance Professionals |
| 10:30 AM – 12:30 PM (CT) | CCO Liability |
| 12:30 PM – 12:45 PM (CT) | Day 4 Symposium Wrap-up |
Please note that this agenda is subject to change
Speakers
Coming soon!
Venue
The Investment Adviser Certified Compliance Professional® Program Symposium will be held at:
Gleacher Center
The University of Chicago Booth School of Business’s downtown Chicago campus
450 North Cityfront Plaza Drive
Chicago, IL 60611
(312) 464-8787
Book Your Hotel Room: Speakers and attendees are responsible for booking their own hotel rooms, which gives everyone the flexibility to stay at their preferred hotel.
A block of rooms have been reserved for Symposium speakers and attendees at the Sheraton Grand Chicago (301 E. North Water Street) that is near the Gleacher Center.
Directions, hotel inforamtion, and travel information will be sent to attendees in advance of the symposium.