Value: A premium designation amongst your compliance professional peers
Scope: Twenty 2-hour courses to be completed within 18 months
Requirements: 12 required compliance courses, 8 electives, 2 years of work experience and passing the certification examination
What You Earn: IACCP designation
NRS Education Next Step: Continuing education requirements to maintain the IACCP designation
A comprehensive yet flexible curriculum for those professionals seeking the benefits and prestige of one of the industry’s premier professional designations, the Investment Adviser Certified Compliance Professional (IACCP).
Required Compliance Education – 10 Courses
The following 10 (2-hour) courses:
- Advisers Act (Six Required Courses)
- Framework of the Act—Duty to Supervise; Who Must Register; Exclusions and Exemptions; State and Federal Responsibilities
- Books and Records—Today’s Requirements
- Brochure Rule; Insider Trading; Codes of Ethics; Contracts
- Anti-Fraud Rules Part 1—Fiduciary Duty, Principal and Agency Cross Transactions, Pooled Investment Vehicles, Advertising Rule
- Anti-Fraud Rules Part 2—Custody, Solicitors, Financial and Disciplinary Disclosure, Proxy Voting
- Compliance Programs Rules and Mastering the Annual Review
- Ethics (Two Required Courses)
- Investment Adviser Codes of Ethics—Requirements and Best Practices
- Ethical Decision-Making and Lessons Learned from SEC Enforcement Cases
- Disclosure (Two Required Courses)
- Form ADV Part 1 and Regulatory Reporting
- Form ADV Part 2 and Identifying and Disclosing Conflicts of Interest
Additional Required Courses
- Ethics (One 2-hour course)
- Mastering Critical Skills for High Performance Compliance Professionals
- Disclosure (One 2-hour course)
- Investment Adviser Performance and Advertising
Electives – 8 Courses Needed
Complete your education by selecting eight additional 2-hour courses designated as IACCP-eligibile on the 2010 NRS Education Schedule
Two years of work experience
Certifying IACCP Examination
Receive
IACCP Designation
The NRS Core and IACCP℠ Professional Development Programs are co-sponsored with
