CCO Education

Co-sponsored by the Investment Adviser Association, COMPLY’s education programs provide industry compliance professionals with recognized credentials, providing guidance to help firms build a strong compliance program with industry-recognized best practices.

• Investment Adviser Core Compliance Program: Provides a core level of compliance professional competence on the Investment Advisers Act of 1940 and is a steppingstone to the IACCP designation
• Investment Adviser Certified Compliance Professional (IACCP®) Program: Designed for compliance professionals wanting to certify their knowledge of investment advisory regulatory obligations, and improve competency in trading, regulatory mandates, and other current regulatory priorities. IACCP is a recognized industry compliance designation

On-demand online learning provides the opportunity for busy compliance professionals to take advantage of valuable and insightful information presented during COMPLY live online courses at their own convenience.

IACCP Desktop-on-Demand webinar recordings and recordings of COMPLY Education courses after the “live” event will qualify for IACCP CE credit upon submission of the Attestation Form.

• Anytime, anywhere education without travel or time away from the office
• Comprehensive Education sessions taught by industry experts
• Extensive topics matched to your firm’s needs

COMPLY is recognized as a regulatory and compliance continuing education approved provider by:

• National Association of State Boards of Accountancy (NASBA) and Continuing Professional Education (CPE) (CPAs/accountants)
• State Bar of California Minimum Continuing Legal Education (CLE)
• Certified Financial Planner (CFP®) Board of Standards

COMPLY Continuing Education Guide