C2 Continuing Education Credit

Compliance Conference 2020

Continuing Education Credit

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.

CLE Credit:

CLE accreditation is pending in the following states: California, Georgia, Illinois, Missouri, Nebraska, Ohio, Pennsylvania, Texas, Virginia, and Washington.

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

New York CLE: 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.

For more information or to request in advance that the IAA apply for CLE credit in a specific state, please contact Megan Olson at megan.olson@investmentadviser.org.


The 2020 IAA Investment Adviser Compliance Conference is presented in a group-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. Conference participants can earn up to 14.5 CPE credits in Business Management & Organization – Non-Technical, Information Technology - Technical, and Regulatory Ethics.

After attending this conference you will be able to:

Identify key issues on which the Securities and Exchange Commission focuses its examination and enforcement programs

Develop best practices for investment adviser compliance programs, including codes of ethics, the chief compliance officer role, compliance training, trading/best execution, vendor due diligence, onboarding institutional clients, and leveraging technology to automate compliance

Identify, disclose, and manage conflicts of interest under the fiduciary duty

Identify compliance issues in the areas of environmental, social, and governance investing, as well as Global Investment Performance Standards (GIPS)

Identify regulatory issues that are unique to registered funds and private equity funds

Identify cybersecurity and data privacy issues for investment advisers

Implement the Securities and Exchange Commission rules for the Form CRS Relationship Summary and guidance and interpretations on proxy voting

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: www.learningmarket.org.