Exhibitors
COMPLY Technologies, Inc. (a.k.a. COMPLY)
COMPLY is an advanced provider of compliance and registration products and services for investment advisers, broker-dealers, hedge funds, investment companies and insurance institutions. COMPLY is also the consulting and education partner for your compliance program. Combining industry-leading experts and real-world insight to help you stay up to date with the ever-changing regulatory landscape and minimize risk.
COMPLY (formerly known as NRS Education) offers the Investment Adviser Certified Compliance Professional® (IACCP®) Program, co-sponsored by the Investment Adviser Association (IAA). The IACCP Program is one of the only designations for investment adviser compliance professionals in the financial services industry. The certification responds to growing industry demand for advanced compliance education and nationally recognized professional standards.
Participants receive a compliance education based on a solid understanding of all regulations and rules with which investment advisers must comply. The program curriculum includes a detailed examination of the Investment Advisers Act of 1940 and related state and federal regulations, provides guidance for building a strong compliance program and highlights best practices which can immediately be implemented. It is delivered in-person, live online and via on-demand webinars, and conferences.
COMPLY is recognized as a continuing education approved provider by: National Association of State Boards of Accountancy (NASBA) Continuing Professional Education (CPE) Sponsor, the State Bar of California Minimum Continuing Legal Education (MCLE), and Certified Financial Planner (CFP®) Board of Standards.
Visit COMPLY.com to learn more.
Address
136 Madison AvenueNew York, NY
10016
United States
Contact Sponsor
NASBA Approved providers:
- National Registry
Registry ID:
103452Approved Delivery Method:
- Group Internet Based
- Group Live
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Professional Ethics: Ethical Decision-Making for Compliance Professionals
COMPLY Technologies, Inc. (a.k.a. COMPLY)Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
As compliance professionals, we are used to working within sets of well-defined rules and creating procedures that manage risks. While there are rules that require Code of Ethics, and while we can dev ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
- Group Live
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Field of Study:
- Regulatory Ethics
Credit Hours:
- 17 - 20 credits
Description:
Education. Training. Industry insight. It all comes together at the COMPLYConnect Conference and Expo. Take a front row seat to the latest news and trends shaping compliance, risk and governance, and ...Program Level:
IntermediateDelivery Method:
- Group Live
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Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity
COMPLY Technologies, Inc. (a.k.a. COMPLY)Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
In the past several years regulatory scrutiny of data protection has expanded from basic issues of privacy, to requirements for dealing with identity theft, to detailed assessments of firm-wide cybers ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
- Group Live
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Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and ’34 Act Section 13 Reporting for Investment Advisers
COMPLY Technologies, Inc. (a.k.a. COMPLY)Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
While the Investment Advisers Act of 1940 includes most of the rules and regulations an advisory firm needs to abide by to be compliant, other regulations affect advisory firms in significant ways and ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
- Group Live
-
Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
Today’s compliance professionals are facing an era of dynamic and rapid regulatory and operational change. The Dodd-Frank Act and other initiatives have changed securities regulation in fundamental wa ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
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Compliance Programs Rules and Strategies for Managing Your Annual Review
COMPLY Technologies, Inc. (a.k.a. COMPLY)Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
Compliance professionals must be ever mindful of the ongoing mandates embodied in Rule 206(4)-7 under the Investment Advisers Act and Rule 38a-1 under the Investment Company Act to maintain, review, t ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
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Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
COMPLY Technologies, Inc. (a.k.a. COMPLY)Field of Study:
- Regulatory Ethics
Description:
The SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940 lay the regulatory foundation of the adviser’s relationship with its clients. Rules promulgated under Section ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
-
Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
This timely course gives you the opportunity to review, identify and discuss investment adviser compliance action items that should be part of the compliance officer’s year-end checklist. To help revi ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
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Understanding Fiduciary Duties and the Sweep of the Anti-Fraud Provisions of the Advisers Act
COMPLY Technologies, Inc. (a.k.a. COMPLY)Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
In 1963, the United States Supreme Court held in SEC v. Capital Gains Research Bureau, Inc., that Section 206 of the Investment Advisers Act of 1940 imposes a fiduciary duty on investment advisers by ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
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Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
COMPLY Technologies, Inc. (a.k.a. COMPLY)Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
The ongoing insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals is a reminder of the importance of an investment adviser having effective poli ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
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Two Trading Compliance Challenges: Valuation and Trade Errors
COMPLY Technologies, Inc. (a.k.a. COMPLY)Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
Trade errors are inevitable. What distinguishes compliant firms is that they detect and identify them quickly, resolve them fairly and expeditiously, and minimize the likelihood of errors in the first ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
- Group Live
-
Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
For the average investment adviser, the prospect of managing the administrative and compliance aspects of the daily operations of the firm can be daunting. This pressure is further multiplied by recen ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
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Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
COMPLY Technologies, Inc. (a.k.a. COMPLY)Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
As a fiduciary, an investment adviser has many obligations to the client including developing, implementing and testing policies, procedures and disclosures to ensure proper trading practices. Complia ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
- Group Live
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Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More
COMPLY Technologies, Inc. (a.k.a. COMPLY)Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
Understanding the intricacies and implications of the Investment Advisers Act of 1940 (Advisers Act) is fundamental to the core responsibilities of any investment adviser compliance professional. A se ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
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Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers
COMPLY Technologies, Inc. (a.k.a. COMPLY)Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
Ethics is not an option; it’s a requirement. Since the adoption of the SEC Rule on Codes of Ethics, every registered investment adviser firm must adopt codes of ethics that establish standards of cond ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
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Trading Practices, Portfolio Compliance and Related Enforcement Cases
COMPLY Technologies, Inc. (a.k.a. COMPLY)Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
As a fiduciary, an investment adviser has many obligations to the client including developing, implementing and testing policies, procedures and disclosures to ensure proper trading practices. Complia ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
- Group Live
-
Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
The SEC recently adopted sweeping changes to its rules governing advertising and referrals. However, to date the commission has provided little in the way of guidance for advisers trying to comply wi ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
- Group Live
-
Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
The Form ADV Part 2 is a “plain English” narrative approach to client disclosure. Investment Advisers are required to file their disclosure brochures electronically and the public has access to these ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
-
Field of Study:
- Regulatory Ethics
Credit Hours:
- 1 - 4 credits
Description:
Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC’s and many states’ list of “Top Deficiencies.” In this session, experts will systematically walk through Form ADV Pa ...Program Level:
IntermediateDelivery Method:
- Group Internet Based
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2025 Calendar of Events
March 2025 -
IACCP and IA Core Programs
March 2025Overview of IACCP and IA Core Programs
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