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Virtual: Investment Adviser Certified Compliance Professional Program Symposium

August 17 – 20, 2021
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Complete half the IACCP® Program coursework in 4 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 completing your IACCP® coursework.*

Designed to go beyond the IA Core Compliance program courses, the IACCP® symposium focuses on the remaining curriculum allowing an attendee to fast track their completion of the program course requirements or provide non-program enrollees a structured continuing education** event on topics beyond the foundational rules of the Investment Advisers Act of 1940.

Instructors will take you through 10 educational sessions over four days, covering key investment adviser regulations and compliance program administration. These include:

  • 3 sessions on Investment Adviser Trading
  • 2 sessions on Mandates beyond the Investment Advisers Act
  • 2 sessions on Performance Advertising and GIPS
  • 1 session on SEC Examinations, Third Party Due Diligence, and Critical Skills for High-Performance Compliance Professionals

 

attendee comments

The symposium is my go-to for getting my continuing education credits for my IACCP® designation. These sessions are always packed with a lot of good and practical information.
– NRS Summer 2020 IACCP® Program Symposium

This program is the only one I have found so far that covers Investment Adviser specific information. It was also an opportunity to fast track my IACCP® education, which was a bonus!
– NRS Summer 2020 IACCP® Program Symposium

 

disclosures

*The other 10 courses out of 20 course IACCP® curriculum are offered in our four-day June Investment Adviser Core Compliance Program Symposium or through weekly course webinars during the Fall. By attending this symposium in conjunction with our June virtual symposium, you will have completed all of the required coursework in as little as eight (8) days and be eligible for the IACCP® designation exam.

**Many of the symposium sessions 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.

DAY 1: Tuesday, August 17
9:45 AM – 10:00 AM (ET) Day 1 Introduction from Kurt Wachholz
10:00 AM – 12:00 PM (ET) Investment Adviser Performance and Advertising
1:00 PM – 3:00 PM (ET) SEC Examination and Enforcement Update for Investment Advisers
3:00 PM – 3:15 PM (ET) Day 1 Symposium Wrap Up
DAY 2: Wednesday, August 18
9:45 AM – 10:00 AM (ET) Day 2 Introduction from Kurt Wachholz
10:00 AM – 12:00 PM (ET) Trading Practices, Portfolio Compliance and Related Enforcement Cases
1:00 PM – 3:00 PM (ET) Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
3:15 PM – 5:15 PM (ET) Two Trading Compliance Challenges: Valuation and Trade Errors
5:15 PM – 5:30 PM (ET) Day 2 Symposium Wrap Up
DAY 3: Thursday, August 19
9:45 AM – 10:00 AM (ET) Day 3 Introduction from Kurt Wachholz
10:00 AM – 12:00 PM (ET) Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA Compliance, and ’34 Act Section 13 Reporting for Investment Advisers
1:00 PM – 3:00 PM (ET) Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity
3:15 PM – 5:15 PM (ET) GIPS for Investment Advisers
5:15 PM – 5:30 PM (ET) Day 3 Symposium Wrap Up
DAY 4: Friday, August 20
9:45 AM – 10:00 AM (ET) Day 4 Introduction from Kurt Wachholz
10:00 AM – 12:00 PM (ET) Critical Skills for High-Performance Compliance Professionals
1:00 PM – 3:00 PM (ET) Third-Party Due Diligence Practices
3:00 PM – 3:15 PM (ET) Day 4 Symposium Wrap Up
Please note that this agenda is subject to change

We would like to thank the following industry experts for their assistance in the course instruction and sharing of practical knowledge and experience during this IACCP® program symposium.

  • Adam Gale, Partner, BakerHostetler
  • Amber Tatman, Consultant, NRS
  • Anne Buckley, President, Saro Partners
  • Courtney Bowling, Consultant, NRS
  • David Dickstein, Partner, Katten Muchin Rosenman LLP
  • Fran Faircloth, Associate, Ropes & Gray LLP
  • Jeffrey HimstreetVP and Corporate CounselPGIM Fixed Income
  • Jeffrey Slavin, Associate, BakerHostetler
  • John Thomas, SVP Internal Audit Director, PNC Capital Advisors, LLC
  • John Van Der WalConsultantNRS
  • Katie Mogan, VP and Senior Compliance Consultant, SEC Compliance Solutions
  • Krista Harvey, Director, Global Industry Standards CFA Institute
  • Kurt WachholzDirector of Education and Executive ConsultantNRS
  • Larry Nakamura, VP Head of U.S. Compliance, CI Private Wealth U.S.
  • Mederic Daigneault, Senior Director Consulting, NRS
  • Nicole Del RosarioConsultantNRS
  • Paul Glenn, Special Counsel, Investment Adviser Association
  • Raymond Lee, Head of Performance, Jennison Associates LLC
  • Rob Sichel, Partner, K&L Gates
  • Rob Stirling, Executive Consultant, NRS
  • Tim Villano, President and CIO, Artemis Global Security, LLC

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 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 = 8 credits (based on a 50-minute hour)
    • DIS3: Investment Adviser Performance and Advertising
    • TRA1: Trading Practices, Portfolio Compliance and Related Enforcement Cases
    • TRA2: Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
    • TRA3: Two Trading Compliance Challenges: Valuation and Trade Errors
  • IACCP® = 20 general (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