Investment Adviser Certified Compliance Professional (IACCP)Program
Prepare for the challenges of today’s compliance environment with a comprehensive certificate program developed by the compliance experts.
The program, developed by NRS in 2005 and co-sponsored since 2007 with the Investment Adviser Association (IAA), responds to the growing industry demand for advanced compliance education and nationally recognized professional standards.
Key features and benefits of the NRS IACCP Program:
- The credential signals industry-wide recognition of an enhanced knowledge and skill level, and clarification of competency requirements
- Required education, offered online and/or onsite, provides experienced-based learning that produces a highly effective new breed of compliance professionals
- Effective risk management tool
- Earning an established designation helps increase credibility of both the individual and firm
- Continuing education requirements for attorneys, accountants/CPAs, certified financial planners and compliance professionals can be earned while completing the Program’s education courses
The Program provides participants with a compliance education based on a solid understanding of regulations and rules that all investment advisers must comply with, including the latest rule changes under the Dodd-Frank Act. The program curriculum includes a detailed, step-by-step examination of the Investment Advisers Act of 1940 and related state and federal regulations, provides guidance for building a strong compliance program and highlights best practices that can immediately be implemented at firms.
The IACCP Program will help to:
- Transform rules and regulations into meaningful compliance policies and procedures
- Shape the firm’s compliance program through a demonstrated understanding of federal and state securities regulatory requirements and the annual review process
- Cultivate judgment and ethical decision-making through case study analysis and SEC enforcement examples
- Strengthen authority to implement policies and procedures in tough situations to minimize risk to the firm and its clients
The IACCP Program provides the education, tools and support needed to manage a successful compliance program through equipping compliance professionals and firms with knowledge, resources and guidance required for daily management of regulatory compliance.