The 2019 Mutual Fund Compliance Programs Conference may be eligible for CLE credit. ICI is an accredited California course sponsor, and will submit application for CLE approval to Illinois, Missouri, and Pennsylvania. Programs are subject to approval, and CLE credit is not guaranteed for all sessions. Because CLE requirements vary by state and are governed by different regulatory agencies, please contact your governing body to learn if this program meets your individual requirements.
Attendance: Your conference badge will be scanned automatically when you enter and exit conference sessions. Information collected by this process is used by ICI and will not be shared with any other organization for any purpose other than state-required audits. CLE certificates will be mailed to individuals two to four weeks after the conference.
Each participant who completes the 2019 General Membership Meeting program will be eligible for approximately 11.5 hours of CPE credit.
Each participant who completes the 2019 Fund Directors Workshop program will be eligible for approximately 13.5 hours of CPE credit.
Each participant who completes the 2019 Mutual Fund Compliance Programs Conference program will be eligible for approximately 10.5 hours of CPE credit.
Each participant who completes the 2019 Operations and Technology Conference program will be eligible for approximately 12.0 hours of CPE credit.
ICI is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors.
|Learning objectives:||Recognize the importance of current securities and regulatory developments affecting investment companies and investment advisers. Provide updates on current regulatory developments affecting registered funds and investment advisers.|
|Delivery mode:||Group Live Course|
|Prerequisites:||No prerequisites or advance preparations are necessary for these programs.|
|Recommended fields of study:||Business Law, Information Technology, and Specialized Knowledge|
|Attendance:||NASBA recordkeeping standards require your conference badge to be scanned automatically when you enter and exit conference sessions. Data collected by this process are used by ICI and will not be shared with any other organization for any purpose other than NASBA-required audits.|
CPE certificates for each conference and the workshop will be available at the conference registration desk.
No prerequisites or advance preparations are necessary for these programs.
ICI will make full or partial scholarships available for Institute conferences to lawyers and law students experiencing financial hardships. Under this policy, a financial hardship is defined as income of $35,000 or less.
|No income:||100 percent discount|
|Income below $35,000:||50 percent discount|
|Income above $35,000:||No discount|
To apply for financial aid, please submit a completed registration form, along with a letter stating your interest in attending the specific program. Law students must include a copy of their current student ID card. All requests for financial aid must be submitted at least four weeks before the start of the conference. ICI will review the submitted materials and inform you whether you have been approved for financial aid.
If you have any questions regarding administrative policies, CLE credit, or CPE credit, please contact Judy Lee at 202-218-3575 or firstname.lastname@example.org.