Core Program Requirements

The Core Training Program offers the foundational level of professional competence necessary to help ensure both routine and newly required procedures are consistently met.

10-Core Course Requirements

Six Advisers Act Courses:

  • A New Look at the Advisers Act: The State/Federal Regulatory Divide, Private Adviser Exemption, Supervision Requirements and more
  • Books and Records Management for Investment Advisers
  • The New Form ADV Delivery Requirements, Contracts and Insider Trading under the Advisers Act
  • Understanding Fiduciary Duties under the Advisers Act
  • Compliance Program Rules and Strategies for Managing Investment Adviser Annual Reviews
  • Custody and Pay-to-Play Rules Plus Solicitors and Proxy Voting Requirements for Investment Advisers

Two Ethics Courses:

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

Two Disclosure Courses:

  • Form ADV Part 1: Annual Updating Amendment and More
  • Form ADV Part 2: Identifying and Disclosing Conflict