
Virtual: Investment Adviser Core Compliance Program Symposium
June 14 – 17, 2022
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.
Find out more
Investment Adviser Certified Compliance Professional Program Symposium
July 19 – 22, 2022
Attend our Investment Adviser Certified Compliance Professional Program Symposium, and be half way to completing your IACCP® coursework.
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Virtual: Investment Adviser Core Compliance Program Symposium
August 15 – 18, 2022
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.
Find out more
Events Search and Views Navigation
June 2022

June 2, 2022 - Event
IACCP Exam Study Session (optional)
The IACCP exam study session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the exam.
Find out more

June 14 – 17, 2022 - Event
Virtual: Investment Adviser Core Compliance Program Symposium
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.
Find out more
July 2022

July 19 – 22, 2022 - Event
Investment Adviser Certified Compliance Professional Program Symposium
Attend our Investment Adviser Certified Compliance Professional Program Symposium, and be half way to completing your IACCP® coursework.
Find out more
August 2022

August 15 – 18, 2022 - Event
Virtual: Investment Adviser Core Compliance Program Symposium
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.
Find out more

August 25, 2022 - Event
IACCP Exam Study Session (optional)
The IACCP exam study session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the exam.
Find out more
September 2022

September 8, 2022 - Event
Trading Practices, Portfolio Compliance and Related Enforcement Cases
This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.
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September 13, 2022 - Event
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
This course provides insight on the meaning of best execution, and focuses on how policies and procedures helps an adviser fulfill its obligations.
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September 15, 2022 - Event
Two Trading Compliance Challenges: Valuation and Trade Errors
This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.
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September 20, 2022 - Event
Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and ’34 Act Section 13 Reporting for Investment Advisers
This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.
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September 22, 2022 - Event
Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity
This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.
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