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Investment Adviser Core Compliance Program Symposium Registration Form

Select Day(s) you plan to attend – Individual First Day Rate $500, Individual Second Day Rate $750, Individual Third Day Rate $750, Individual Fourth Day Rate $500*

*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, June 8th 2021
AA01 - Introduction to the Advisers Act: Framework, Registration, Exclusions, and Exemptions: Exempt Reporting Advisers: Private Fund Advisers and More
AA02 - Books and Records Requirements for Investment Advisers
  Day Two - Wednesday, June 9th 2021
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, Solicitors, and Proxy Voting Requirements
  Day Three - Thursday, June 10th 2021
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 Whistleblowers
  Day Four - Friday, June 11th 2021
ETH02 - Professional Ethics: Ethical Decision-Making for Compliance Professionals
AA06 - Compliance Programs Rules and Strategies for Managing Your Annual Review

*If you are attending all four days and are not already enrolled in the IA Core Compliance or IACCP® program, consider enrolling in the IA Core Compliance Program instead of registering for this event individually. Enroll Here.

Click here to View the Cancellation Policy

Total Price
(State sales taxes may apply. Not included here in total purchase.)
$
IACCP® Designee Special CE Rate Code

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Note: If your mailing address is outside the USA, please email sales@nrs-inc.com to register.

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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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