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Compliance Professional Development Programs

The IAA cosponsors two investment adviser compliance professional development programs with NRS, a COMPLY company. These programs provide industry professionals with comprehensive guidance to help firms build a strong compliance program with industry-recognized best practices.

Investment Adviser Core Compliance Program

The Investment Adviser Core Compliance Program is designed for professionals new to the industry as well as those wanting to solidify their knowledge of the Investment Advisers Act of 1940 and related rules. The IA Core Compliance program offers the foundational level of professional competence necessary to help ensure both routine and new requirements are consistently met.

  • Value: Delivers a core level of professional competence
  • Timeline: 12 months to complete the program
  • Requirements: 10 required compliance courses plus submission of an ethics assessment
  • What You Earn: A Certificate of Achievement
  • Next Step: Consider earning the IACCP designation

Investment Adviser Certified Compliance Professional Designation Program

The Investment Adviser Certified Compliance Professional (IACCP®) Program is designed for compliance professionals wanting to certify their knowledge of investment adviser regulatory obligations and requirements. The IACCP program offers, in addition to the foundational knowledge of the Investment Advisers Act of 1940, competence in trading rules, other regulatory mandates, and current compliance priorities. More than 1,150 compliance professionals have the IACCP designation.

  • Value: An industry-recognized compliance designation
  • Timeline: 18 months to complete the program
  • Requirements: 17 required compliance courses, 3 elective courses, submission of ethics commitment and assessment, passing the IACCP certifying examination, and 2 years of work experience
  • What You Earn: Investment Adviser Certified Compliance Professional (IACCP) designation
  • Next Step: Annual continuing education requirements to maintain the IACCP designation

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