Attend our Investment Adviser Certified Compliance Professional® Program Symposium, and be half way to completing your IACCP® coursework.
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.
- 1 session on the Investment Adviser Marketing Rule.
- 1 session each on Reg Best Interest, DOL Fiduciary Rule, and the Impact of SEC Risk Alerts; Vendor Due Diligence with or without the Outsourcing Rule; Understanding Custody: Practical Examples for Safeguarding Client Assets; 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.
– IACCP® Program Symposium Attendee
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!
– IACCP® Program Symposium Attendee
Disclosures
*The other 10 courses out of 20 course IACCP® curriculum are offered in our four-day Investment Adviser Core Compliance Program Symposium in August or through weekly course webinars. By attending this instructor-led 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 also approved for CLE, CPE, and CFP® credits. See the Continuing Education Credit section below for more information.
The IACCP® and IA Core Compliance Programs are co-sponsored by COMPLY and the Investment Adviser Association.
Agenda
DAY 1
| Jul. 15 10 a.m. – 12 p.m. |
Mandates Beyond the Advisers Act: AML, ERISA, & ’34 Act Reporting |
| Jul. 15 1 – 3 p.m. |
Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity |
DAY 2
| Jul. 16 10 a.m. – 12 p.m. |
Trading Practices, Portfolio Compliance and Related Enforcement Cases |
| Jul. 16 1 – 3 p.m. |
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage |
| Jul. 16 3:15 – 5:15 p.m. |
Reg Best Interest, DOL Fiduciary Rule, and the Impact of SEC Risk Alerts |
DAY 3
| Jul. 17 10 a.m. – 12 p.m. |
Two Trading Compliance Challenges: Valuation and Trade Errors |
| Jul. 17 1 – 3 p.m. |
Investment Adviser Marketing Rule |
| Jul. 17 3:15 – 5:15 p.m. |
Vendor Due Diligence with or without the Outsourcing Rule |
DAY 4
| Jul. 18 10 a.m. – 12 p.m. |
Critical Skills for High-Performance Compliance Professionals |
| Jul. 18 1 – 3 p.m. |
Understanding Custody: Practical Examples for Safeguarding Client Assets |
Please note that this agenda is subject to change.
Speakers
Coming soon.
Maximum CE Credit Hours possible:
COMPLY Continuing Education Guide
Recommended IACCP® CE Credit: 20
Recommended CPE Credit: 20 in the Regulatory Ethics field of study
Recommended CA MCLE Credit: 20
Recommended CFP® Credit: 10
