Value: Delivers a core level of professional competence
Scope: Ten 2-hour courses to be completed within 12 months
Requirements: 10 required compliance courses plus an education assessment
What You Earn: A certificate of achievement for completing the program
NRS Education Next Step: Consider the IACCP designation
Designed for professionals new to the industry as well as those wanting to solidify their knowledge, the IA Core Compliance Training Program offers the foundational level of professional competence necessary to help ensure both routine and newly-required procedures are consistently met.
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
Submission of written assessment
Receive
Investment Adviser Core Compliance
Training Certificate of Achievement
The NRS Core and IACCP℠ Professional Development Programs are co-sponsored with
