Each of the eight full-day courses offered in the Investment Adviser Compliance Certificate Program can be taken in total to fulfill the certificate program requirements or individually to enhance compliance competency in a specific topic. The complete training schedule includes a combination of convenient online training and classroom venues in three cities: Washington DC, Chicago,  and Las Vegas. Course topics will include:

• Mastering the Investment Advisers Act of 1940 Part I: Sections 201 through 205
• Mastering the Investment Advisers Act of 1940 Part II: Sections 206 through 222
• Thinking Like an SEC Examiner
• Federal, State and Self-Regulatory Organizations (SROs) Securities Regulation
• Ethics
• Trading: Best Practices and Lessons Learned
• Understanding Disclosure: Form ADV, Performance and Advertising
• Compliance Mandates Beyond the Advisers Act
• IACCP Examination Online Study Session (optional)

 

All courses are designed to offer continuing education credits for attorneys, accountants, certified financial planners and other professionals. Compliance professionals who are unable to attend the courses can order printed materials, which support the live presentations.