2025 Investment Adviser Compliance Conference

Continuing Education Information

Continuing education credit is available for this conference. Please note that continuing education credit is only available for those attending the conference in person. Listening to recordings does not qualify for continuing education credit.

CFP Credit

CFP credit is available for this conference. Exact credit hours will be available soon.

CLE Credit

CLE accreditation is pending in the following states: Alabama, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Idaho, Iowa, Kansas, Kentucky, Minnesota, Missouri, Montana, Nebraska, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, Texas, Utah, Virginia, and Washington, and Wisconsin.

To request that the IAA apply for CLE credit in a specific state, please contact iaaevents@investmentadviser.org no later than January 31, 2025.

New Hampshire: The provider believes this course meets the requirement of NH Supreme Court Rule 53.

New York: 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.

Financial Hardship: The IAA offers financial aid for certain attorneys who wish to attend an IAA program but for whom the registration fee would be a financial hardship due to loss of employment or similar circumstances. This policy applies only to attorneys who are seeking continuing legal education (CLE) in a state in which the IAA is a CLE provider and that requires CLE providers to have a financial hardship policy. See the IAA CLE Financial Hardship Policy and Application for more information.

IACCP® CE Credit

The conference is approved for 11 General CE credits and 2 Ethics CE credits toward COMPLY Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit. IACCP designees have primary responsibility for reporting continuing education activities by the reporting period deadline. The IACCP program is co-sponsored by the Investment Adviser Association and COMPLY. For more information, please contact nrstraining@comply.com.

NASBA CPE Credit

The IAA’s 2025 Investment Adviser Compliance Conference is presented in a live setting and is 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. The exact number of CPE credits in Business Management & Organization – Non-Technical, Information Technology – Technical, and Regulatory Ethics that an attendee can earn is pending.

The 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.

After attending this conference, you will be able to:

• Identify key issues on which the Securities and Exchange Commission focuses its rulemaking, examination and enforcement programs for investment advisers
• Develop best practices for investment adviser compliance programs, including fiduciary duty, codes of ethics, conflicts of interest, disclosure, marketing rule, anti-money laundering rules, ERISA issues, recordkeeping, compliance testing, use of technology and artificial intelligence, registered funds, valuation, trading, and oversight of third-party service providers
• Identify regulatory issues that are unique to private equity and other private funds
• Identify cybersecurity and data privacy issues for investment advisers