Investment Adviser Certified Compliance Professional Training and Designation

The Investment Adviser Certified Compliance Professional (IACCP) training and designation is a game-changer for those working in the investment advisory industry.

This comprehensive program is designed to equip professionals with the knowledge and expertise to navigate the complex regulatory landscape.

The IACCP program covers topics such as the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Dodd-Frank Wall Street Reform and Consumer Protection Act.

IACCP holders are better equipped to mitigate risk and ensure compliance with industry regulations.

Upon completion of the program, individuals can demonstrate their expertise through the IACCP designation, a mark of distinction in the industry.

Compliance training programs are essential for investment advisers to stay up-to-date on industry regulations and best practices. The IAA cosponsors two investment adviser compliance professional development programs with COMPLY to help firms build a strong compliance program.

These programs provide comprehensive guidance on industry-recognized best practices, giving industry professionals the tools they need to succeed. The IAA has partnered with COMPLY to offer high-quality training that meets the evolving needs of the industry.

The IACCP Program is designed for compliance professionals who want to certify their knowledge of investment adviser regulatory obligations and requirements. It offers a rigorous and comprehensive curriculum that covers foundational knowledge of the Investment Advisers Act of 1940, as well as competence in trading rules, regulatory mandates, and current compliance priorities.

To earn the IACCP designation, candidates must complete 17 required compliance courses, 3 elective courses, submit an ethics commitment and assessment, pass the IACCP certifying examination, and have 2 years of work experience. This program is recognized industry-wide and demonstrates a commitment to compliance excellence.

Here are the program requirements:

The IACCP Program is a valuable investment for compliance professionals who want to advance their careers and stay ahead of regulatory changes. With a strong compliance program in place, firms can reduce the risk of non-compliance and protect their reputation.

The Investment Adviser Certified Compliance Professional (IACCP) designation is a prestigious credential that demonstrates your expertise in investment adviser regulatory obligations. To earn this designation, you'll need to complete the IACCP program, which takes 18 months to finish.

The IACCP program requires 17 required compliance courses, 3 elective courses, submission of an ethics commitment and assessment, passing the IACCP certifying examination, and 2 years of work experience. This comprehensive program covers the Investment Advisers Act of 1940, trading rules, regulatory mandates, and current compliance priorities.

Upon completion of the program, you'll receive the IACCP designation. To maintain this designation, you'll need to complete annual continuing education requirements.

Here are the key requirements for the IACCP program:

The IACCP program is a steppingstone to the IACCP designation, providing a foundation of professional competence necessary to help support and strengthen an investment advisory firm's compliance program administration.

To become an investment adviser certified compliance professional, you'll need to complete a series of required courses. These courses cover key aspects of investment advisory work, including the Advisers Act and disclosure requirements.

There are a total of 12 required courses divided into three categories: Advisers Act, Disclosure, and Trading. Each category has four courses that you'll need to complete.

Here's a breakdown of the required courses:

The Advisers Act requires six specific courses to be completed by investment advisers. These courses provide a comprehensive understanding of the Act's framework and requirements.

The courses cover a range of topics, including registration, exclusions, and exemptions, as well as books and records requirements. They also delve into compliance challenges such as insider trading and advisory contracts.

AA01: Introduction to the Advisers Act is the first course in this series, providing an overview of the Act's framework and key concepts. This course is a must-take for any investment adviser looking to understand the Act's requirements.

The following courses build on the foundation established in AA01: AA02: Books and Records Requirements for Investment Advisers, AA03: Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts, AA04: Understanding Fiduciary Duties and a Sweep of the Anti-Fraud Provisions of the Advisers Act, AA05: Advisers Act Anti-Fraud Rules: Custody, Political Contributions, and Proxy Voting Requirements, and AA06: Compliance Program Rules and Strategies for Managing Your Annual Review.

Here are the six required courses in a concise list:

In the world of investment advising, disclosure is a crucial aspect that can't be overlooked. There are three required courses that cover the necessary topics.

Form ADV Part 1 is covered in the DIS01 course, which focuses on the annual updating amendment and more. This course is a must-have for any investment advisor.

Form ADV Part 2 and 3 are covered in the DIS02 course, which delves into identifying and disclosing conflicts. This is a vital aspect of being an investment advisor.

The DIS03 course covers the Investment Adviser Marketing Rule, which is essential for advisors to understand.

The trading courses are a crucial part of your education.

TRA01: Trading Practices, Portfolio Compliance and Related Enforcement Cases is a required course that covers the practices and compliance related to trading. This course is essential for understanding the regulations and laws surrounding trading.

TRA02: Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage is another required course that focuses on compliance with trading regulations. It covers best execution, soft dollars, and directed brokerage.

TRA03: Two Trading Compliance Challenges: Valuation and Trade Errors is the third required course that addresses two significant challenges in trading compliance: valuation and trade errors. Understanding these challenges is vital for making informed trading decisions.

Here are the three required trading courses:

Mandates are a crucial aspect of compliance in the investment industry, and it's essential to understand the required courses that cover these mandates.

Two required courses are part of the mandates: MAN01 and MAN02.

MAN01 covers mandates beyond the Advisers Act, including anti-money laundering, ERISA, and '34 Act Section 13 reporting. This course is a must-have for professionals who need to stay up-to-date on these critical areas.

MAN02 focuses on data protection, including privacy, identity theft, and cybersecurity. With the increasing importance of data protection, this course is a valuable resource for professionals who want to ensure they're meeting their compliance obligations.

Here are the two required courses:

Ethics is a crucial aspect of professional development, and our program requires two courses to ensure you're well-versed in this area.

The first course, ETH01: Investment Adviser Codes of Ethics, delves into the implications of gifts and whistleblowers, helping you understand the complexities of this topic.

You'll learn about the rules that govern investment adviser codes of ethics and how to navigate situations involving gifts and whistleblowers.

The second course, ETH02: Professional Ethics, focuses on ethical decision-making for compliance professionals, providing you with the tools to make informed decisions in high-pressure situations.

By taking these two courses, you'll gain a solid understanding of the principles and practices that guide professional ethics in the industry.

Our clients have been blown away by the quality of our sessions, with many praising the balance of basic and advanced information provided.

The sessions are well-structured, making them accessible to both new and seasoned professionals in the industry.

Many of our clients appreciate the emphasis on creating a culture of compliance, where individuals can connect, share knowledge, and work towards a common goal.

This community-driven approach has been particularly effective in fostering collaboration and mutual understanding among professionals in the field.

By leveraging the collective expertise and experience of our attendees, we've seen significant improvements in compliance practices and a stronger sense of community among our clients.