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School of Law

Compliance Certifications

CSCP and CICCP Certificates

In partnership with the National Society of Compliance Professionals (NSCP), St. Thomas Law offers two securities compliance certifications—Certified Investment Company Compliance Professional (CICCP) and Certified Securities Compliance Professional (CSCP).

The certifications obtained at the completion of the final exams distinguish individuals with intermediate to advanced proficiency and a commitment to advancing securities compliance practices.

Program Highlights:

  • 14-week online courses
  • Instructors are leading financial services industry professionals
  • CSCP examination offered for BD, IA or Dual Registrants
  • CICCP examination offered for investment company compliance professionals
  • Discounted NSCP membership ($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 (includes the certification exam fee)

Students must hold a bachelor’s degree from an accredited college/university to apply.

Contact

Colleen Dorsey

Colleen Dorsey Headshot
Email
colleen.dorsey@stthomas.edu

Certified Securities Compliance Professional (CSCP)

The focus of the Certified Securities Compliance Professional (CSCP) course will be on Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulated financial services firms with a particular emphasis on Investment Advisers and Broker Dealers.
  • Compliance program management including risk assessment and risk management
  • Developing, monitoring and testing policies and procedures
  • Ethics and Conflicts of Interest
  • Client Communications and Client Protection
  • Regulatory Risk Management
  • Regulatory Filings
  • Books and Records

Certified Investment Company Compliance Professional (CICCP)

The focus of the Certified Investment Company Compliance Professional (CICCP) course will be on Securities and Exchange Commission (SEC) regulated investment companies.
  • 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