Chief Compliance Officer Education

Good Afternoon,

I was wondering if anyone could give me some insight on some good educational courses for new Chief Compliance Officers.

We have done some research on the Investment Adviser Core Compliance Program & Investment Adviser Certified Compliance Professional (IACCP) Program and would love to hear any feedback anyone would be willing to share on these programs?

Any other sources or suggestions would be greatly appreciated as well!

Thank You!
Stacey

Stacey Sternberg
10 Weybosset Street, Suite 1000
Providence, RI 02903
401-521-2440 phone
401-521-4870 fax

Comments

  • I went thru the IACCP class/certification and was very happy with NRS.


    Joy Sheehan
    VP/Chief Compliance Officer
    Princeton Advisory Group, Inc.
    NOTE NEW ADDRESS EFFECTIVE 12/5/16:
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    Princeton, NJ 08540

    DIRECT: 609-514-1004
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    Fax: 609-514-0330
    jsheehan@princetonadvisory.com

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  • edited May 2017
    I did, too. The program gives good insight into the '40 Act, current regulatory requirements, what goes into a good compliance program, maintenance, etc.

    Maria Rolph
    Chief Compliance Officer
    CornerStone Partners LLC
    www.cstonellc.com
    mrolph@cstonellc.com
    Direct: 434.984.9300 | Main: 434.296.2300
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