Overview
Attend our virtual Investment Adviser Core Compliance Program Symposium 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
Attendee Comments
Speakers were able to cover a lot of material in an effective way, making it easy to digest the material.
– Investment Adviser Core Compliance Program Symposium Attendee
Excellent and informative. Good insight into different considerations based on new work environment and previously untested contingencies.
– Investment Adviser Core Compliance Program Symposium Attendee
Disclosures
*Many of the symposium sessions, including Professional Ethics: Ethical Decision-Making, are 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
| Aug. 12 10 a.m. – 12 p.m. |
Introduction to the Advisers Act: Framework, Registration, Exclusions and More |
| Aug. 12 1 – 3 p.m. |
Form ADV Part 1: Annual Updating Amendment and More |
DAY 2
| Aug. 13 10 a.m. – 12 p.m. |
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts |
| Aug. 13 1 – 3 p.m. |
Books and Records Requirements for Investment Advisers |
| Aug. 13 3:15 – 5:15 p.m. |
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers *This course DOES NOT qualify for IACCP Ethics CE credits. |
| Aug. 14 10 a.m. – 12 p.m. |
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts |
| Aug. 14 1 – 3 p.m. |
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act |
| Aug. 14 3:15 – 5:15 p.m. |
Advisers Act Anti-Fraud Rules: Custody, Political Contributions and Proxy Voting Requirements |
DAY 4
| Aug. 15 10 a.m. – 12 p.m. |
Compliance Programs Rules and Strategies for Managing Your Annual Review |
| Aug. 15 1 – 3 p.m. |
Professional Ethics: Ethical Decision-Making for Compliance Professionals *Qualifies for the IACCP Ethics CE requirement. |
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: 18
