IACCP Program Requirements

The IACCP® Program coursework consists of 17 required compliance courses, 3 electives, 2 years of work experience, submission of the ethics commitment and assessment, and the certifying examination.

Required Compliance Education – 20 (2 hour) courses

Advisers Act (Six Required Courses)

  • AA01: Introduction to the Advisers Act: Framework; Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers; and More
  • AA02: Books and Records Requirements for Investment Advisers
  • AA03: Insider Trading, Contracts and ADV Delivery Requirements for Investment Advisers
  • AA04: Understanding Fiduciary Duties and a Sweep of the Anti-Fraud Provisions of the Advisers Act
  • AA05: Selected Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
  • AA06: Compliance Program Rules and Strategies for Managing the Annual Review

Disclosure (Three Required Courses)

  • DIS01: Form ADV Part 1: Annual Updating Amendment and More
  • DIS02: Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
  • DIS03: Investment Adviser Performance and Advertising

Trading (Three Required Courses)

  • TRA01: Trading Practices, Portfolio Compliance and Related Enforcement Cases
  • TRA02: Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
  • TRA03: Two Trading Compliance Challenges: Valuation and Trade Errors

Mandates (Two Required Courses)

  • MAN01: Mandates Beyond the Advisers Act: AML, ERISA, and ’34 Act Section 13 Reporting
  • MAN02: Data Protection: Privacy, Identity Theft, and Cybersecurity

Ethics (Two Required Courses)

  • ETH01: Investment Adviser Codes of Ethics—The Rule Plus Implications of Pay to Play, Gifts and Whistleblowers
  • ETH02: Professional Ethics: Ethical Decision-Making for Compliance Professionals

Skills (One Required Course)

  • SKL01: Critical Skills for High-Performance Compliance Professionals

Electives (Three Courses) 

  • Complete your coursework by selecting three additional 2-hour courses. For current year elective courses, view the course calendar here.

Additional Requirements

  • Two years of work experience
  • Submission of Ethics commitment and assessment
  • Certifying IACCP® Examination

Upon completing your coursework, and obtaining your designee status, you will be required to maintain your certification through Continuing Education.

Candidates who have obtained the NRS Investment Adviser Core Compliance Program Certificate of Achievement may apply their coursework towards the completion of these requirements.

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