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School of Law

Compliance Certificates

CSCP and CICCP Certificates

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

The certificates obtained after 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
  • NSCP offers new members (who are currently enrolled in a course) a discounted rate of $150 for their first year or membership.
  • Current NSCP members are not eligible for the discounted rate. All questions about membership should be directed to info@nscp.org.
  • 2025-26 Costs:
    • $4,000 (includes the certification exam fee)
    • $135 technology fee
    • $82 health fee

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

Contact

Suzan McGinnis

Director of Admissions
Suzan McGinnis Headshot
Email
suzan.mcginnis@stthomas.edu
Phone Number
651-962-4864

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