Name: 2025 Calendar of Events
Brand: COMPLY Technologies, Inc. (a.k.a. COMPLY)

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 Avenue
New York
NY
10016
United States

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NASBA Approved providers

National Registry

Registry ID

103452

Approved Delivery Method

Group Live, Group Internet Based

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 …

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 …

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 …

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 …

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 …

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 …

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 …

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 …

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 …

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 …

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 …

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 …

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 …

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 …

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 …

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 …

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 …

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 …

19 Results

Overview of IACCP and IA Core Programs

2 Results

Sponsors

COMPLY Technologies, Inc. (a.k.a. COMPLY)

Address

NASBA Approved providers

Registry ID

Approved Delivery Method

Professional Ethics: Ethical Decision-Making for Compliance Professionals

2025 COMPLYConnect Conference & Expo

Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and ’34 Act Section 13 Reporting for Investment Advisers

Compliance Professional Summit

Compliance Programs Rules and Strategies for Managing Your Annual Review

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

RIA Year-End Compliance Check-up

Understanding Fiduciary Duties and the Sweep of the Anti-Fraud Provisions of the Advisers Act

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

Two Trading Compliance Challenges: Valuation and Trade Errors

Books and Records Requirements for Investment Advisers

Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage

Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More

Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers

Trading Practices, Portfolio Compliance and Related Enforcement Cases

Investment Adviser Marketing Rule

Form ADV Part 2: Identifying and Disclosing Conflicts

Form ADV Part 1: Annual Updating Amendment and More

2025 Calendar of Events

IACCP and IA Core Programs

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Sponsors

COMPLY Technologies, Inc. (a.k.a. COMPLY)

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NASBA Approved providers

Registry ID

Approved Delivery Method

Contact Sponsor

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Location

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