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Investment Adviser Core Compliance Program Symposium Registration Form

Select Day(s) you plan to attend - One day rate $835, Two day rate $1,670, Three day rate $2,500*

  Day One - Tuesday, June 2nd 2020
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
ETH01 - Investment Adviser Code of Ethics: The Rule Plus Implications of Gifts and Whistleblowers
AA03a - Two Persistent Compliance Challenges: Insider Trading
  Day Two - Wednesday, June 3rd 2020
ETH02 - Professional Ethics: Ethical Decision-Making for Compliance Professionals
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
AA03b - Two Persistent Compliance Challenges: Advisory Contracts
  Day Three - Thursday, June 4th 2020
AA06 - Compliance Program Rule and Managing the Annual Review
DIS01 - Form ADV Part 1: Annual Updating Amendment and More
DIS02 - Form ADV Part 2 and 3: Identifying and Disclosing Conflicts

*If you are attending all three days and are not already enrolled in the IA Core Compliance or IACCP program, consider enrolling in the IA Core 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
Law Firm Bank Insurance
Mutual Fund Private Fund Other

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