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Virtual Investment Adviser Core Compliance Program Symposium Registration Form

Select Day(s) you plan to attend – Individual First Day Rate $550, Individual Second Day Rate $825, Individual Third Day Rate $825, Individual Fourth Day Rate $550*

*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 - Tuesday, April 11, 2023
AA01 - Introduction to the Advisers Act: Framework, Registration, Exclusions and More
AA02 - Books and Records Requirements for Investment Advisers
  Day Two - Wednesday, April 12, 2023
AA03 - Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
AA04 - Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
AA05 - Advisers Act Anti-Fraud Rules: Custody, Political Contributions, and Proxy Voting Requirements
  Day Three - Thursday, April 13, 2023
DIS01 - Form ADV Part 1: Annual Updating Amendment and More
DIS02 - Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
ETH01 - Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers (qualifies for IACCP General CE credits)
  Day Four - Friday, April 14, 2023
ETH02 - Professional Ethics: Ethical Decision-Making for Compliance Professionals (qualifies for IACCP Ethics CE credits)
AA06 - Compliance Programs Rules and Strategies for Managing Your Annual Review

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Total Price
(State sales taxes may apply. Not included here in total purchase.) 		$
IACCP® Designee Special CE Rate Code
Attendee Information
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First Name*
 Last Name* 
Title*
Organization*
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 State* 
 Zip* 
Phone*
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E-mail*
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Billing Information (Note: The address associated with the credit card you plan to use needs to be your billing address.)
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First Name*
 Last Name* 
Title*
Organization*
Address Line 1*
Address Line 2
City*
 State* 
 Zip* 
Phone*
 Fax 
Type of Firm?*
Adviser Only Broker-Dealer Only Dually Registered
Attorney/Law Firm Bank Insurance
Fund Administrator Transfer Agent Mutual Fund
Private Fund Other

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