Loading Events

Virtual: Investment Adviser Core Compliance Program Symposium

June 8 – 11, 2021
Register Now

Complete your IA Core Compliance Program Coursework in 4 days!

Right from the comfort of your home or office, attend our virtual Investment Adviser Core Compliance Program Symposium, complete the coursework in 4 days and receive your IA Core Compliance Program Certificate of Achievement.*

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 Investment Adviser Core Compliance Program Symposium will provide interactive compliance education led by seasoned legal and compliance industry experts.

Instructors will take you through 10 educational sessions over four days, covering key sections of the Investment Advisers Act of 1940 and related rules. These include:

  • 6 sessions on the Advisers Act
  • 2 sessions on Investment Adviser disclosures
  • 2 sessions on Investment Adviser ethics**

 

attendee comments

Speakers were able to cover a lot of material in an effective way, making it easy to digest the material.
– NRS Summer 2020 Investment Adviser Core Compliance Program Symposium

Excellent and informative. Good insight into different considerations based on new work environment and previously untested contingencies.
– NRS Summer 2020 Investment Adviser Core Compliance Program Symposium

 

more details

Interested in the Investment Adviser Certified Compliance Professional (IACCP®) Program Designation or the Investment Adviser Core Compliance Program Certificate of Achievement? Certain sessions from this symposium would satisfy program course requirements.

For more information about these programs, see our Professional Development Lookbook for details.

 

disclosures

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

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

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

Please Note:

If you are currently enrolled in our IACCP® or IA Core Compliance program, you may register for available symposium sessions from your program resource center portal and not the event registration page.

If you are interested in completing the IA Core Compliance program, or plan on attending all four days of the symposium, please consider enrolling here and not on the event registration page.

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 four-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 = 18 credits (based on a 50-minute hour)
    • AA1: Introduction to the Advisers Act: Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More
    • AA2: Books and Records Requirements for Investment Advisers
    • AA3: Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
    • AA4: Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
    • AA5: Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
    • AA6: Compliance Programs Rules and Strategies for Managing Your Annual Review
    • DIS1: Form ADV Part 1: Annual Updating Amendment and More
    • DIS2: Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
    • ETH1: Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers
  • IACCP® = 18 general, 2.0 ethics 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