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Virtual: Central Investment Adviser Certified Compliance Professional Program Symposium

July 14 – 16, 2020
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special message from NRS

This event will be held virtually. All sessions will be presented live via our online webinar platform.

Complete half the IACCP® Program coursework in 3 days*

Right from the comfort of your home or office, attend our virtual Investment Adviser Certified Compliance Professional Program Symposium and be half way to receiving your IACCP® designation.**

Designed for professionals new to the Investment Adviser industry as well as those wanting to solidify their knowledge of Investment Adviser regulations, the Central Investment Adviser Certified Compliance Professional Program Symposium provides interactive compliance education led by seasoned legal and compliance industry experts.

Instructors will take you through 10 educational sessions over three days covering key investment adviser regulations and compliance program administration; 3 Sessions on Investment Adviser Trading, 2 Sessions on Investment Adviser Mandates beyond the Investment Advisers Act, and sessions on SEC examinations, business continuity, ethics, and critical skills for high-performance compliance professionals.***

*The IACCP® program has 20 required courses to complete before being eligible for the designation exam.

**IACCP® designation has an additional 10 courses that are offered both online or by attending our East Coast Investment Adviser Core Compliance Program Symposium.

***Many of the symposium sessions, including Ethics, are approved CE for other industry designations and professional certifications. See the Continuing Education Credit tab below.

The NRS IACCP® and IA Core Compliance Programs are co-sponsored with:

IAA Investment Adviser Association

Continuing Education Credit Information for Investment Adviser Compliance Symposia.

Register Now

DAY 1: Tuesday, July 14
8:15 AM – 8:30 AM (CT) Welcome and Announcements for the Day
8:30 AM – 10:30 AM (CT) DIS03 – Investment Adviser Performance and Advertising
10:30 AM – 10:45 AM (CT) Morning Break
10:45 AM–12:45 PM (CT) TRA01 – Trading Practices, Portfolio Compliance & Related Enforcement Cases
12:45 PM – 1:45 PM (CT) Lunch Break
1:45 PM – 3:45 PM (CT) TRA02 – Trading Compliance: Best Execution, Soft Dollars & Directed Brokerage
3:45 PM – 4:00 PM (CT) Afternoon Break
4:00 PM – 5:00 PM (CT) TRA03a – Two Trading Compliance Challenges: Trade Errors & Valuation: Part 1 – Trade Errors
5:00 PM – 5:15 PM (CT) Day One Wrap-Up
DAY 2: Wednesday, July 15
8:15 AM – 8:30 AM (CT) Welcome and Announcements for the Day
8:30 AM – 10:30 AM (CT) SKL01 – Critical Skills for High-Performance Compliance Professionals: Compliance Stress, Sources and Strategies
10:30 AM – 10:45 AM (CT) Morning Break
10:45 AM–12:45 PM (CT) MAN01 – Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA & ’34 Act Section 13 Reporting for Investment Advisers
12:45 PM – 1:45 PM (CT) Lunch Break
1:45 PM – 3:45 PM (CT) MAN02 – Data Protection: Privacy, Identity Theft & Cybersecurity
3:45 PM – 4:00 PM (CT) Afternoon Break
4:00 PM – 5:00 PM (CT) TRA03b – Two Trading Compliance Challenges: Trade Errors & Valuation: Part 2 – Valuation
5:00 PM – 5:15 PM (CT) Day Two Wrap-Up
DAY 3: Thursday, July 16
8:15 AM – 8:30 AM (CT) Welcome and Announcements for the Day
8:30 AM – 10:30 AM (CT) ETH02 -Professional Ethics: Ethical Decision-Making for Compliance Professionals Amid the Pandemic Response*
10:30 AM – 10:45 AM (CT) Morning Break
10:45 AM–12:45 PM (CT) ELC05 – Are You Prepared: Business Continuity, Disaster Recovery, Succession Planning & More
12:45 PM – 2:00 PM (CT) Lunch Break
2:00 PM – 4:00 PM (CT) ELC01 – SEC Examination & Enforcement Update for Investment Advisers
4:00 PM – 5:00 PM (CT) Investment Adviser Certified Compliance Professional Program – Day Three Wrap-up

*Qualified for ethics credit for other credentials and designations, see our continuing education page for more information.

Please note that this agenda is subject to change
  • Amber Tatman, Senior Consultant, National Regulatory Services
  • Anne Buckley, President, Saro Partners Co.
  • Christian B. Hennion, Partner, Katten Muchin Rosenman LLP
  • Dave Nelson, Founder and CEO, Pratum
  • Drew Ahrens, Senior Consultant, National Regulatory Services
  • Fran Faircloth, Associate, Ropes & Gray LLP
  • James G. Lundy, Partner, Faegre Drinker Biddle & Reath, LLP
  • Jeff VonDruska, Associate, Vedder Price P.C.
  • Jim Downing, Global Chief Compliance Officer, AON
  • Karen Aavik, Chief Compliance Officer, Stratos Wealth Partners
  • Kurt Wachholz, Executive Consultant and Director Education, National Regulatory Services
  • Marilyn Miles, Vice President Consulting and Education, National Regulatory Services
  • Michael L. Sherman, Partner, Dechert LLP
  • Nathaniel Segal, Counsel, Vedder Price P.C.
  • Nicole M. Kalajian, Counsel, Stradley Ronon Stevens & Young LLP
  • Rob Stirling, Executive Consultant, National Regulatory Services
  • Robert Sichel, Partner, K&L Gates
  • Sanjay Lamba, Associate General Counsel, Investment Adviser Association
  • Tara Stevenson, Consultant, National Regulatory Services

Please note that this speaker list is subject to change

National Regulatory Services (NRS) conferences and seminars are designed to meet criteria for continuing education credits for attorneys, CPA/accountants, certified financial planners, IACCP® designees and other compliance and legal professionals.

NRS is listed on the National Association of State Boards of Accountancy (NASBA) Registry as an Approved Provider of CPE credits for accountants and as a sponsor of CFP continuing education credits with the Certified Financial Planner Board of Standards. The State Bar of California recognizes NRS as an approved provider of CLE credits for attorneys. CLE credits are available for most other states and may vary according to your state’s regulations.

For more information on continuing education or the NRS Financial Hardship Policy,
call 1‐860-435-0200 or email continuinged@nrs-inc.com.

Maximum Recommended credit hours for three-day Symposium:

CLE = 20 credits (based on a 60 – minute hour)
CPE = 20 credits in the Regulatory Ethics field of study (based on a 50 – minute hour)
CFP = pending approval (based on a 50 – minute hour)
IACCP® = 18 general credits and 2 ethics (based on a 50 – minute hour)

View the NRS Continuing Education Guide

National Regulatory Services is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org