2021 Compliance Workshops
Continuing Education
CLE Credit
CLE accreditation is pending in CA, GA, IN, KS, and OH.
IL: Approved for 5.5 credit hours
NE: Approved for 5.58 credit hours
NH: The provider believes this course meets the requirement of NH Supreme Court Rule 53.
NY: Under New York’s Approved Jurisdiction policy, New York attorneys may claim credit earned through participation in out-of-state courses accredited by a New York Approved Jurisdiction. More information is available on the New York State Bar website. Illinois and Nebraska are considered approved jurisdictions.
MO: Approved for 7.5 credit hours
PA: Approved for 5.5 credit hours
TX: Approved for 5.5 credit hours
For more information or to request that your state be included, please contact iaaevents@investmentadviser.org.
NASBA CPE Credit
6.5 CPE credits in Business Management & Organization – Non-Technical are available for the IAA Compliance Workshops. The IAA Compliance Workshops are presented in a virtual setting, and are appropriate for intermediate and advanced skill levels. Previous courses in securities law or comparable work experience in the investment advisory industry is required. Advance preparation for the event is not required.
Investment Adviser Association is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.
CFP Credit
6.5 CFP credit hours are available for the IAA Compliance Workshops.
IACCP Credit
The conference is approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit. IACCP designees have primary responsibility for reporting continuing education activities by the reporting period deadline. Instructions for reporting CE activities are available in the IACCP CE Guide, which is available on the IACCP CE portal.