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Virtual: East Coast Investment Adviser Core Compliance Program Symposium

August 4 – 6, 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.

Receive your IA Core Compliance Program Certificate of Achievement in 3 days*

Right from the comfort of your home or office, attend our virtual Investment Adviser Core Compliance Program Symposium, receive your IA Core Compliance Program Certificate of Achievement in 3 days* and be half way to completing the coursework for the Investment Adviser Certified Compliance Professional (IACCP®) designation.**

Designed for professionals new to the Investment Adviser industry as well as those wanting to solidify their knowledge of the Investment Advisers Act of 1940 and its related rules, the East Coast Investment Adviser Core Compliance 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 sections of the Investment Advisers Act of 1940 and related rules: 6 sessions on the Advisers Act, 2 sessions on Investment Adviser disclosures, and 2 sessions on Investment Adviser ethics.***

*Certificate is awarded after course attendance and successful completion of assessment.

**IACCP® designation program has an additional 10 program courses that can also be completed online or by attending our Virtual Central Investment Adviser Certified Compliance Professional Program Symposium in July.

***Many of the symposium sessions, including Ethics, are approved for 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.

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DAY 1: August 4
8:15 AM – 8:30 AM (ET) Welcome and Announcements for the Day
8:30 AM – 10:30 AM (ET) AA01 – Introduction to the Advisers Act:  Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More
10:30 AM – 10:45 AM (ET) Morning Break
10:45 AM – 12:45 PM (ET) AA02 – Books and Records Requirements for Investment Advisers
12:45 PM – 1:45 PM (ET) Lunch Break
1:45 PM – 3:45 PM (ET) ETH01 – Investment Adviser Codes of Ethics: The Rule Plus Implications of Whistleblowers
3:45 PM – 4:00 PM (ET) Afternoon Break
4:00 PM – 5:00 PM (ET) AA03a – Two Persistent Compliance Challenges: Insider Trading & Advisory Contracts: Part 1 Insider Trading
5:00 PM – 5:15 PM (ET) Day One Wrap-Up
DAY 2: Wednesday, August 5
8:15 AM – 8:30 AM (ET) Welcome and Announcements for the Day
8:30 AM – 10:30 AM (ET) ETH02 – Professional Ethics: Ethical Decision-Making for Compliance Professionals Amid the Pandemic Response*
10:30 AM – 10:45 AM (ET) Morning Break
10:45 AM – 12:45 PM (ET) AA04 – Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
12:45 PM – 1:45 PM (ET) Lunch Break
1:45 PM – 3:45 PM (ET) AA05 – Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors & Proxy Voting Requirements
3:45 PM – 4:00 PM (ET) Afternoon Break
4:00 PM – 5:00 PM (ET) AA03b – Two Persistent Compliance Challenges: Insider Trading & Advisory Contracts: Part 2 Advisory Contracts
5:00 PM – 5:15 PM (ET) Day Two Wrap-Up
DAY 3: Thursday, August 6
8:15 AM – 8:30 AM (ET) Welcome and Announcements for the Day
8:30 AM – 10:30 AM (ET) AA06 – Compliance Programs Rules & Strategies for Managing Your Annual Review
10:30 AM – 10:45 AM (ET) Morning Break
10:45 AM – 12:45 PM (ET) DIS01 – Form ADV Part 1: Annual Updating Amendment & More
12:45 PM – 2:00 PM (ET) Lunch Break
2:00 PM – 4:00 PM (ET) DIS02 – Form ADV Part 2 & 3: Identifying & Disclosing Conflicts
4:00 PM – 5:00 PM (ET) IA Core Compliance 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

Coming Soon

National Regulatory Services (NRS) conferences, symposia and webinars 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 1‐860-435-0200860-435-0200 or email continuinged@nrs-inc.com.

Maximum Recommended credit hours for three-day Symposium:

CLE = 18 credits (based on a 60 – minute hour)
CPE = 18 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 (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