Education to stay ahead of regulatory changes and advance your career.
Introducing the premier education resource. Formerly known as NRS Education, and co-sponsored by the Investment Adviser Association, this educational service is designed to give you valuable and insightful compliance information presented during live online courses and available on-demand for 30 days following the event.
Investment Adviser Core Compliance (IA Core) Program provides essential training on the Investment Advisers Act of 1940 and is a steppingstone to the IACCP designation, providing a foundation of professional competence necessary to help support and strengthen an investment advisory firm’s compliance program administration. There is no examination and those that successfully complete the IA Core program receive a certificate of completion.
“I was blown away at how well put together the sessions were. I have been to many conferences, this one did a great job of providing basic info for those new to the industry, yet also provided lots of insight for seasoned folks to learn something.” – Ken Dunn, AVP/Compliance, Broker-Dealer CCO with Pacific Select Distributors
“Creating and maintaining a culture of compliance, by connecting as a community, moving forward towards same goal, with the same purpose, together”- Kelly Taylor, CCO with Whitaker Myers Wealth Managers, Webinar Attendee
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
With automated workflows, in-depth reporting and secure APIs, you can rest assured we’ve got your compliance program covered, giving you more time to focus on what matters most — your clients and investors.
Offering a suite of robust solutions to meet your unique compliance needs, COMPLY provides the depth and breadth of compliance solutions to help you navigate complexity with ease.
Your focus is on your clients. Our focus is on your compliance. Deliver an alpha strategy anchored in comprehensive risk assurance, all while maintaining compliance with precision and ease. How? With COMPLY. Backed by the experts across the COMPLY portfolio, you can rest assured we have the details — from Form ADV disclosures to Form 13F and back again — covered.
A full view of all events so that you can plan your year for education; from becoming an IACCP® designee, completing the IA Core Compliance program, or continuing your education.
Get a front row seat to the latest news and trends shaping compliance, risk, and governance. Join hundreds of your fellow compliance professionals at the premier compliance conference.
Get a front row seat to the latest news and trends shaping compliance, risk, and governance. Join hundreds of your fellow compliance professionals at the premier compliance conference.
Co-sponsored by the Investment Adviser Association, COMPLY’s core education programs provide you with the comprehensive knowledge to help your firm build a strong compliance program with industry-recognized best practices.
Education to advance your career without overburdening your calendar. Introducing the on-demand education program designed to work with your busy schedule.
Expand your knowledge, grow your skills and fulfill your investment adviser representative (IAR) continuing education requirements.
Register for COMPLY’s upcoming education courses for expert insight into key compliance areas and how to adapt your program to meet new requirements.
