COMPLY | Symposium Order Form

February 4 - 7, 2025

Virtual Investment Adviser Core Compliance (IA Core) Program Symposium

Select Day(s) you plan to attend*

*If you are attending all four days and are not already enrolled in the IA Core Compliance or IACCP® program, consider enrolling here instead of registering for this event individually. Already enrolled in the IA Core Compliance or IACCP® program? Please register for the symposium through your Resource Center portal.

If none of these apply, please proceed with your registration below.

Day One - February 4, 2025

AA01 - Introduction to the Advisers Act: Framework, Registration, Exclusions and More

DIS01 - Form ADV Part 1: Annual Updating Amendment and More

$590.00

Day Two - February 5, 2025

AA02 - Books and Records Requirements for Investment Advisers

ETH01 - Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers
*Does not qualify for IACCP® Ethics CE credits.

AA03 - Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

$885.00

Day Three - February 6, 2025

AA04 - Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act

DIS02 - Form ADV Part 2 and 3: Identifying and Disclosing Conflicts

AA05 - Advisers Act Anti-Fraud Rules: Custody, Political Contributions and Proxy Voting Requirements

$885.00

Day Four - February 7, 2025

AA06 - Compliance Programs Rules and Strategies for Managing Your Annual Review

ETH02 - Professional Ethics: Ethical Decision-Making for Compliance Professionals
*Qualifies for IACCP® Ethics CE credits.

$590.00

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(State sales taxes may apply. Included on checkout page.)

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Note: If your mailing address is outside of the United States, please email consultingsales@comply.com to register.

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