About CICCP
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 certificate.
Apply now for Spring 2026: The course will run January 20 - May 3, 2026
APPLY TODAYThe 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, for new members, (NSCP Membership for CICCP Students: $150 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: $4,000 (includes the CICCP certification exam fee)
- Additional fees include $135 technology fee and $82 health fee.
- Apply now for Spring 2026: The course will run January 20 - May 3, 2026
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
CICCP Course Information / University of St. Thomas (UST)
For more information, please contact:
Suzan McGinnis
Director, Organizational Ethics & Compliance Programs
University of St. Thomas
suzan.mcginnis@stthomas.edu
If you have additional questions about NSCP membership, recertification, or fees, please email:
NSCP – info@nscp.org
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. 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.
NSCP Membership for CICCP Students: $150 for 1 year
*Student membership discount is for new members only. Evidence of enrollment must be provided while applying for student membership.
