NRS Investment Adviser Certified Compliance Professional (IACCP) Competency Survey
Please read the instructions below and then click to Start the Survey .
If you have questions, please contact NRS Education at email@example.com or +1.860.435.0200.
To thank you for contributing your assessment of key investment adviser compliance competencies, you will receive an advance copy of the results.
- Let’s qualify your participation in the survey.
Are you familiar with the legal and/or compliance implications/operations of state and/or SEC-registered investment advisers?
If no, please pass this survey to the compliance and/or legal department in your firm.
If yes, please click to Start the Survey .
- Survey Completion Deadline: To be sure that a significant cross-section of investment adviser compliance professionals is represented in this industry-wide survey, we encourage you to complete the survey by February 28, 2017.
- The survey has three parts:
Part 1: Background Questions This part of the survey asks for your name, email address and other demographic information, and also gives brief instructions on how to navigate within the survey. The demographic and contact information will not be used for any purpose other than survey analysis.
Part 2: Objectives Ratings You will be asked to rate 76 objectives, which have been divided into seven (7) sections. You will be asked to rate the objectives on three scales described below: Importance, Relevance, and Frequency. Please rate each objective on each of the three scales. You may also make comments on each objective, if you choose, but comments are not required. If you would like to include any missing objectives that you think should be included in a particular section, please enter that objective in a comment box within that section.
Rate each objective in each section (scroll down to see all objectives in some sections). Then click the “Next” button at the bottom of the screen to advance to the next section. Once you finish rating the objectives, clicking the “Next” button will automatically move to Part 3 of the Survey.
- Importance: On this scale, rate how important you believe this objective is for the IACCP Exam. The lowest number represents little or no importance, while the highest number represents the highest possible importance.
- Relevance: On this scale, rate how relevant you believe this objective is to determining whether or not an examinee should be certified. The lowest number represents little or no relevance, while the highest number represents the highest possible relevance.
- Frequency: On this scale, rate how often this task or objective would need to be performed at an advisory firm by an examinee who should be certified. The lowest number indicates the lowest frequency and the highest number represents the highest frequency.
Part 3: Section Distribution This part of the survey asks what percent of the exam should be focused on each of the seven (7) sections of the exam. The seven (7) sections appear on the left, and you type the percent of the exam you feel should be devoted to that section in the box to the right. The percentages for all seven (7) sections need to total 100 percent; the survey totals the percentages you have entered at the bottom of the screen next to Total Weight. To review any of your ratings, click in the percent field; the objectives in that section, along with your ratings, will appear on the right.
- The survey should take about 45 minutes to complete and you are encouraged to complete the survey in one session. However, if you cannot complete the survey in one session, you may come back, enter your email address and continue in the section where you ended the prior session.
- When you finish the survey, click the “Complete Survey” button and the survey will close.