Overview
Complete your IA Core Compliance Program Coursework in 4 days!
Designed for professionals new to the Investment Adviser industry as well as those wanting to solidify their knowledge of the Investment Advisers Act of 1940 and its related rules, the Investment Adviser Core Compliance Program Symposium is structured to provide interactive compliance education led by seasoned legal and compliance industry experts.
Compliance professionals interested in the Investment Adviser Certified Compliance Professional (IACCP®) Program or Investment Adviser Core Compliance Program, as well as IACCP® designees looking to receive continuing education credits will find this symposium beneficial.
Instructors will take you through 10 educational sessions over four days, covering key sections of the Investment Advisers Act of 1940 and related rules. These include:
- 6 sessions on the Advisers Act
- 2 sessions on Investment Adviser disclosures
- 2 sessions on Investment Adviser ethics
Attend our virtual Investment Adviser Core Compliance Program Symposium right from the comfort of your home or office and complete the coursework in 4 days!
Attendee comments
Speakers were able to cover a lot of material in an effective way, making it easy to digest the material.
– NRS Summer 2020 Investment Adviser Core Compliance Program Symposium
Excellent and informative. Good insight into different considerations based on new work environment and previously untested contingencies.
– NRS Summer 2020 Investment Adviser Core Compliance Program Symposium
Disclosures
*Many of the symposium sessions, including Ethics, 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 IAA Investment Adviser Association.
Please note:
If you are currently enrolled in our IACCP® or IA Core Compliance program, you may register for available symposium sessions from the IACCP® Resource Center portal and not the event registration page.
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) | Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More |
| 3:00 PM – 5:00 PM (CT) | Books and Records Requirements for Investment Advisers |
| 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) | Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts |
| 10:30 AM – 12:30 PM (CT) | Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act |
| 12:30 PM – 2:00 PM (CT) | Lunch |
| 2:00 PM – 4:00 PM (CT) | Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors, and Proxy Voting Requirements |
| 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 Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers *Qualifies for IACCP® General CE credits |
| 10:30 AM – 12:30 PM (CT) | Professional Ethics: Ethical Decision-Making for Compliance Professionals *Qualifies for IACCP® Ethics CE credits |
| 12:30 PM – 2:00 PM (CT) | Lunch |
| 2:00 PM – 4:00 PM (CT) | Form ADV Part 1: Annual Updating Amendment and More |
| 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) | Form ADV Part 2 and 3: Identifying and Disclosing Conflicts |
| 10:30 PM – 12:30 PM (CT) | Compliance Programs Rules and Strategies for Managing Your Annual Review |
| 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 information, and travel information will be sent to attendees in advance of the symposium.