Investment Adviser Core Compliance Program


The Investment Adviser Core Compliance program provides essential training on the Investment Advisers Act of 1940 and is a stepping stone to the IACCP® Program and designation. It provides the foundation professional competence necessary that helps ensure both routine and newly required compliance procedures are consistently met.

Participants complete courses online and/or attend in-person events and will gain

  • A foundational level of professional competence necessary to help ensure both routine and newly required procedures are consistently met
  • Knowledge to transform rules and regulations into meaningful compliance policies and procedures
  • Skills and abilities necessary to build strong compliance programs and minimize risk

In addition, attorneys, accountants/CPAs, certified financial planners and compliance professionals can earn continuing education credits.

Benefits

Lead | Learn
  • Receive a foundational level of professional competence necessary to help ensure both routine and newly required procedures are consistently met
  • Learn to transform rules and regulations into meaningful compliance policies and procedures
  • Develop the skills and abilities necessary to build strong compliance programs and minimize risk
  • Complete courses online and/or attend in-person events

View the program requirements