The IAA cosponsors two investment adviser compliance professional development programs with COMPLY. These programs provide industry professionals with comprehensive guidance to help firms build a strong compliance program with industry-recognized best practices.
The Investment Adviser Core Compliance Program is designed for professionals new to the industry as well as those wanting to solidify their knowledge of the Investment Advisers Act of 1940 and related rules. The IA Core Compliance program offers the foundational level of professional competence necessary to help ensure both routine and new requirements are consistently met.
The Investment Adviser Certified Compliance Professional (IACCP®) Program is designed for compliance professionals wanting to certify their knowledge of investment adviser regulatory obligations and requirements. The IACCP program offers, in addition to the foundational knowledge of the Investment Advisers Act of 1940, competence in trading rules, other regulatory mandates, and current compliance priorities. More than 1,150 compliance professionals have the IACCP designation.
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