Investment Adviser Core Compliance and Investment Adviser Certified Compliance Professional (IACCP) Programs

Yes, NRS offers 40 to 50 webinars and three, four-day symposia which count toward the IACCP program’s course requirements. The annual compliance conference offer IACCP Designees the opportunity to meet their annual continuing education requirements and continue to learn from and network with other compliance professionals interested in the latest compliance and regulatory trends and issues. 

The IACCP designation provides:

• Industry-wide recognition and enhanced credibility for individuals and firms.
• Professional competence necessary to help ensure routine and newly required procedures are consistently met.
• Experience-based learning, which produces a highly effective new breed of compliance professionals.
• Strategies for transforming rules and regulations into meaningful compliance policies and procedures.
• Flexible learning with all courses offered online and/or attend in-person events.

The opportunity to earn continuing education (CE) credits for attorneys, accountants/CPAs, certified financial planners and compliance professionals.

The NRS Investment Adviser Certified Compliance Professional (IACCP) Program, co-sponsored by the Investment Adviser Association (IAA), is designed for compliance professionals wanting to certify their knowledge of investment advisory regulatory obligations, and offers additional competency in trading, regulatory mandates and other current regulatory priorities.

Participants receive a compliance education based on a solid understanding of all, including the latest regulations and rules with which all investment advisers must comply. The program curriculum includes a detailed, step-by-step examination of the Investment Advisers Act of 1940 and related state and federal regulations, provides guidance for building a strong compliance program and highlights best practices which can immediately be implemented at firms.

Investment Adviser Core Compliance program includes 10 courses, which can then be applied towards future IACCP program requirements.

The Investment Adviser Core Compliance program provides essential training on the Investment Advisers Act of 1940 and is a stepping-stone to the IACCP Program and designation

This program provides:

• Flexible Learning, with all courses offered online and/or attend in-person events.
• The opportunity to earn continuing education credits for attorneys, accountants/CPAs, certified financial planners and compliance professionals.