Investment Adviser Core Compliance Program Requirements


The Investment Adviser Core Compliance Program coursework consists of 10 required compliance courses, and the submission of the ethics commitment and assessment.  Compliance Professionals who complete this program can have this coursework applied towards the requirements for the Investment Adviser Certified Compliance Professional (IACCP®) Program.

Required Compliance Education – 10 (2 hour) courses

Advisers Act (Six Required Courses)

  • Introduction to the Advisers Act: Framework; Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers; and More
  • Books and Records Requirements for Investment Advisers
  • Insider Trading, Contracts and ADV Delivery Requirements for Investment Advisers
  • Understanding Fiduciary Duties and a Sweep of the Anti-Fraud Provisions of the Advisers Act
  • Selected Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
  • Compliance Program Rules and Strategies for Managing the Annual Review

Ethics (Two Required Courses)

  • Investment Adviser Codes of Ethics—The Rule Plus Implications of Pay to Play, Gifts and Whistleblowers
  • Professional Ethics: Ethical Decision-Making for Compliance Professionals

Disclosure (Two Required Courses)

  • Form ADV Part 1: Annual Updating Amendment and More
  • Form ADV Part 2: Identifying and Disclosing Conflicts

Additional requirements

  • Submission of Ethics commitment and assessment

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