Thinking about advancing your compliance education (and your career) but not sure where to start?
COMPLY’s IA Core and IACCP® programs, co-sponsored by the Investment Adviser Association, is your ticket to leading education, resources, and best practices to fast track your compliance know-how.
And the best part? The upcoming Spring symposium are right around the corner. Earn your CE credits, achieve your certification or designation, and leverage industry insight to empower your compliance program to achieve and maintain the heightened regulatory standards demanded by the SEC!
So, what can you expect from these events? Let’s break it down!
Virtual Investment Adviser Core Compliance (IA Core) Program Symposium
Over four days, attendees will dive into the inner workings of the Adviser’s Act with interactive compliance education led by seasoned legal and compliance industry experts.
The foundational knowledge covered during this virtual event is designed to help ensure compliance professionals are ready and able to achieve COMPLYance with confidence, mitigtating and managing risk with industry best practices.
Sessions will include:
- Introduction to the Advisers Act: Framework, Registration, Exclusions and More
- Books and Records Requirements for Investment Advisers
- Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
- Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
- Advisers Act Anti-Fraud Rules: Custody, Political Contributions and Proxy Voting Requirements
Plus! Attendees have the opportunity to earn education credits up to:
- IACCP®️ CE Credit = 10 General CE credits and 2 Ethics CE credits (maximum of 12 IACCP CE credits per year)
- CPE = 20 CPE credits in the Regulatory Ethics field of study
- CA MCLE = 20 CLE credits
- CFP®️ = 18 CFP credits
Ready to take part? Join us April 16-19!
Virtual Investment Adviser Certified Compliance Professional (IACCP®) Program Symposium
During this virtual event, which spans four days, attendees will explore topics beyond the Adviser’s Act, digging into the nitty-gritty of compliance in 2024 and beyond.
Sessions will be led by industry experts who have served as regulators, CCOs, and lawyers, and who will bring their own expertise and insight to the table to help you navigate compliance complexities.
Sessions will include:
- Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity
- Trading Practices, Portfolio Compliance and Related Enforcement Cases
- Cryptocurrency
- Investment Adviser Marketing Rule
- Navigating the Intersection of Generative AI and Compliance: Safeguarding Innovation
During this event, attendees can earn CE credits up to:
- IACCP®️ CE Credit = 12 General CE credits (maximum of 12 IACCP CE credits per year)
- CPE = 20 CPE credits in the Regulatory Ethics field of study
- CA MCLE = 20 CLE credits
- CFP®️ = 10 CFP credits
Ready to take part? Join us May 14 – 17!