Overview
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!
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.
Agenda
| DAY 1: Tuesday, February 4 | |
| 10:00 AM – 12:00 PM (ET) | Introduction to the Advisers Act: Framework, Registration, Exclusions and More |
| 1:00 PM – 3:00 PM (ET) | Form ADV Part 1: Annual Updating Amendment and More |
| DAY 2: Wednesday, February 5 | |
| 10:00 AM – 12:00 PM (ET) | Books and Records Requirements for Investment Advisers |
| 1:00 PM – 3:00 PM (ET) | Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers *This course DOES NOT qualify for IACCP Ethics CE credits. |
| 3:15 PM – 5:15 PM (ET) | Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts |
| DAY 3: Thursday, February 6 | |
| 10:00 AM – 12:00 PM (ET) | Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act |
| 1:00 PM – 3:00 PM (ET) | Form ADV Part 2 and 3: Identifying and Disclosing Conflicts |
| 3:15 PM – 5:15 PM (ET) | Advisers Act Anti-Fraud Rules: Custody, Political Contributions and Proxy Voting Requirements |
| DAY 4: Friday, February 7 | |
| 10:00 AM – 12:00 PM (ET) | Professional Ethics: Ethical Decision-Making for Compliance Professionals *This course counts toward the IACCP® Ethics CE requirement. |
| 1:00 PM – 3:00 PM (ET) | Compliance Programs Rules and Strategies for Managing Your Annual Review |
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: Pending approval
