COMPLY Online Course & Education

Continue your regulatory education and certification requirements with our live and on-demand courses.

The 2025 COMPLY Education Course Calendar
Course
  • CE:
  • CLE
  • CPE
  • IACCP
Form ADV Part 1: Annual Updating Amendment and More
Tuesday February 4, 2025 10:00 am
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
Thursday February 6, 2025 1:00 pm
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and...
Wednesday February 5, 2025 1:00 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Books and Records Requirements for Investment Advisers
Wednesday February 5, 2025 10:00 am
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
Wednesday February 5, 2025 3:15 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Trading Practices, Portfolio Compliance and Related Enforcement Cases
Thursday January 16, 2025 1:00 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
Tuesday March 11, 2025 1:00 pm
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
Professional Ethics: Ethical Decision-Making for Compliance Professionals
Friday February 7, 2025 10:00 am
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Course
State-Registered Investment Advisers: A Compliance Tutorial for Working with...
On-demand
ON-DEMAND LIBRARY LEARN MORE
Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of...
Thursday February 6, 2025 10:00 am
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Investment Adviser Marketing Rule
Thursday January 9, 2025 1:00 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Two Trading Compliance Challenges: Valuation and Trade Errors
Thursday March 20, 2025 1:00 pm
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Course
IACCP® Exam Study Session
Tuesday January 14, 2025 1:00 pm
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Course
  • CE:
  • CFP
  • CLE
  • CPE
  • IACCP
Introduction to the Advisers Act: Framework, Registration, Exclusions and More
Tuesday February 4, 2025 10:00 am
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Course
  • CE:
  • CLE
  • CPE
  • IACCP
May Symp – Highs and Lows of Cryptocurrency in Today’s Market
May 15, 2024
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