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2022 Investment Adviser Compliance Conference

Continuing Education Credit

Please note that continuing education credit is only available for those attending the conference in person. Listening to recordings does not qualify for CE credit.

CFP Credit

CFP credit is available for this conference. Exact credit hours will be available soon.

CLE Credit

CLE accreditation is pending in the following states: California, Georgia, Illinois, Missouri, Nebraska, New York, North Carolina, Ohio, Pennsylvania, Texas, Virginia, and Washington.

The provider believes this course meets the requirement of NH Supreme Court Rule 53.

To request that the IAA apply for CLE credit in a specific state, please contact Megan Olson at megan.olson@investmentadviser.org by February 4, 2022.

IACCP Credit

The conference is approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit. IACCP designees have primary responsibility for reporting continuing education activities by the reporting period deadline. Instructions for reporting CE activities are available in the IACCP CE Guide, which is available on the IACCP CE portal.

NASBA CPE Credit

The IAA’s 2022 Investment Adviser Compliance Conference is presented in a live setting and is appropriate for intermediate and advanced skill levels. Previous courses in securities law, or comparable work experience in the investment advisory industry is required. Advance preparation for the event is not required. Conference participants can earn up to 10 CPE credits in Business Management & Organization – Non-Technical, Information Technology – Technical, and Regulatory Ethics. After attending this conference, you will be able to:

  • Identify key issues on which the Securities and Exchange Commission focuses its examination and enforcement programs
  • Develop best practices for investment adviser compliance programs, including codes of ethics, risk management, trading/best execution, wrap fee programs, annual reviews, DOL developments, SEC examinations, ESG investing practices, compliance programs, and disclosures, digital assets, BCPs and remote supervision, and effective supervision of technology
  • Understand what it means to have a fiduciary duty
  • Identify regulatory issues that are unique to private equity funds
  • Put into practice cybersecurity and data privacy lessons for investment advisers
  • Implement the new Securities and Exchange Commission Marketing Rule

The Investment Adviser Association is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

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