Symposium

Virtual Investment Adviser Core Compliance (IA Core) Program Symposium

Tuesday February 4, 2025 10:00 am

Attend our virtual Investment Adviser Core Compliance Program Symposium right from the comfort of your home or office and complete the coursework in 4 days!

Feb. 4, 2024 at 10:00 a.m. to Feb. 7, 2025 at 3:00 p.m. Eastern

Overview

Attend our virtual Investment Adviser Core Compliance Program Symposium right from the comfort of your home or office and complete the coursework in 4 days!

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 is structured to provide interactive compliance education led by seasoned legal and compliance industry experts.

Compliance professionals interested in the Investment Adviser Certified Compliance Professional (IACCP®) Program or Investment Adviser Core Compliance Program, as well as IACCP® designees looking to receive continuing education credits will find this symposium beneficial.

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

Attend our virtual Investment Adviser Core Compliance Program Symposium right from the comfort of your home or office and complete the coursework in 4 days!

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

disclosures

*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 the IAA Investment Adviser Association.

Agenda

DAY 1: Tuesday, February 4    
10:00 AM – 12:00 PM (ET) Introduction to the Advisers Act: Framework, Registration, Exclusions and More
1:00 PM – 3:00 PM (ET) Form ADV Part 1: Annual Updating Amendment and More

 

DAY 2: Wednesday, February 5
10:00 AM – 12:00 PM (ET) Books and Records Requirements for Investment Advisers
1:00 PM – 3:00 PM (ET) Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers 
*This course DOES NOT qualify for IACCP Ethics CE credits.
3:15 PM – 5:15 PM (ET) Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

 

 

Please note that this agenda is subject to change

Speakers

Coming soon.

Continuing Education Credits

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, email nrstraining@comply.com.

Maximum CE Credit Hours possible

COMPLY Continuing Education Guide

Recommended IACCP® CE Credit: 20

Recommended CPE Credit: 20 in the Regulatory Ethics field of study

Recommended CA MCLE Credit: 20

Recommended CFP® Credit: 20