The Certified Investment Company Compliance Professional (CICCP) is a graduate-level program for experienced investment company compliance professionals, offered through the University of St. Thomas in collaboration with the National Society of Compliance Professionals (NSCP). Upon successful completion of the academic course and the CICCP certification exam, candidates will be granted the CICCP designation offered by NSCP.
The certification obtained at the completion of the final exam distinguishes individuals with intermediate to advanced proficiency and a commitment to advancing securities compliance practices. The focus of the course will be on Securities and Exchange Commission (SEC) regulated investment companies.
CICCP Program Highlights:
14-week course delivered online
Instructor a leading financial services industry professional
CICCP examination offered for investment company compliance professionals
Discounted NSCP membership (NSCP Membership for CICCP Students: $100 for 1 year)
Three graduate-level academic credits are awarded by the University of St. Thomas with successful completion of the course, which can be applied to the online MSL degree program in Organizational Ethics & Compliance
Cost: $3,000.00 (includes the CSCP certification exam fee)
Apply now for Spring 2024: The course will run January 16, 2024 – May 5, 2024
Areas Of Compliance Covered:
Introduction to the Mutual Fund Industry
The Role of the Board and Service Providers
Compliance Programs for Investment Companies, Rule 38a-1 and Code of Ethics Rule 17j-1
Organizing a Mutual Fund, Offering Documents, and Regulatory Filings.
Investment Company Act Section 15 – the Advisory Contract, Investment Management Agreements, and 15(c) Questionnaires
Investment Practices and Limitations, Transactions with Affiliates, Brokerage Practices, Diversification Rules, and Quarterly Certifications.
Fund Valuation & Portfolio Pricing
Shareholder Voting, Proxy Voting, and ESG Investing
Marketing and Distribution of Fund Shares
Business Continuity (DRP and Pandemic), Privacy – Reg S-P and Red Flag, Cybersecurity, and Anti-Money Laundering
The Annual Compliance Program Testing Program and Report
Reporting to the Mutual Fund Board
How to handle an SEC Mutual Fund Exam
CICCP Program Registration Qualifications:
Bachelor’s Degree from an accredited college/university required
For more information, please contact:
Colleen Dorsey
Director, Organizational Ethics & Compliance Programs
University of St. Thomas
colleen.dorsey@stthomas.edu
About NSCP
The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry.
NSCP is for compliance, by compliance. NSCP membership provides the financial services professional from the U.S. and Canada with a wide range of resources including a vast network of compliance peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests.