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In-Person Investment Adviser Certified Compliance Professional® 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, July 11, 2023
MAN01 - Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and '34 Act Section 13 Reporting for Investment Advisers
MAN02 - Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity
  Day Two - Wednesday, July 12, 2023
TRA01 - Trading Practices, Portfolio Compliance and Related Enforcement Cases
TRA02 - Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
TRA03 - Two Trading Compliance Challenges: Valuation and Trade Errors
  Day Three - Thursday, July 13, 2023
DIS03 - Investment Adviser Marketing Rule
ELC01 - SEC Examination and Enforcement Updates for Investment Advisers
ELCxx - Game Plan for the New CCO/Interpersonal Skills
  Day Four - Friday, July 14, 2023
SKL01 - Critical Skills for High-Performance Compliance Professionals
ELCxx - CCO Liability

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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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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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