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CLE Credit
CLE accreditation is pending in CA.
GA has approved 4 hours of CLE credit for the Virtual Compliance Workshop.
IL has approved 3.5 hours of CLE credit for the Virtual Compliance Workshop, and in-person events for 3.5 hours.
MO, PA, and TX have approved 4.0 hours of CLE credit.
NH: The provider believes this course meets the requirement of NH Supreme Court Rule 53.
NY: Under New York’s Approved Jurisdiction policy, New York attorneys may claim credit earned through participation in out-of-state courses accredited by a New York Approved Jurisdiction. Illinois is an approved jurisdiction.
For more information or to request that your state be included, please contact iaaevents@investmentadviser.org.
NASBA CPE Credit
CPE credit is available for the IAA Compliance in-person Workshops. Exact credit hours will be available soon. The IAA Compliance Workshops are 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.
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.
CFP Credit
CFP credit is available for the IAA Compliance Workshops. Exact credit hours will be available soon.
IACCP Credit
Each of the IAA’s Compliance Workshops is approved for 4 general CE credit toward Investment Adviser Certified Compliance Professional® (IACCP®) certification. 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.