The IACCP Program coursework consists of 15 required compliance courses, 5 electives, 2 years of work experience, submission of the ethics commitment and assessment, and the certifying examination.
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
Candidates who have obtained the NRS Investment Adviser Core Compliance Program Certificate of Achievement may apply their coursework towards the completion of these requirements.
Additional Required Coursework – 5 (2 hour) courses
Skills (One Course)
- Mastering Critical Skills for High-Performance Compliance Professionals
Disclosure (One Course)
- Investment Adviser Performance and Advertising
Trading (Three Courses)
- Trading Practices, Portfolio Compliance and Related Enforcement Cases
- Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
- Two Trading Compliance Challenges: Valuation and Trade Errors
Elective Coursework and additional requirements
Electives (Five Courses)
- Complete your coursework by selecting five additional 2-hour courses. View the events calendar here.
- Two years of work experience
- Submission of Ethics commitment and assessment
- Certifying IACCP Examination
Upon completing your coursework, and obtaining your designee status, you will be required to maintain your certification through Continuing Education.