In partnership with the National Society of Compliance Professionals (NSCP), St. Thomas Law offers two securities compliance certificates —Certified Investment Company Compliance Professional (CICCP), Certified Securities Compliance Professional (CSCP), and the Cybersecurity Compliance Professional (CYBCP).
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.
2026-27 Costs:
$4,000 (includes the certification exam fee)
$144 technology fee (as of 6/26)
$85 health fee (as of 6/26)
Students must hold a bachelor’s degree from an accredited college/university to apply.
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
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
The focus of the Cybersecurity Compliance Professional (CYBCP) course will be on teaching the practical skills needed to be a Cybersecurity professional within the compliance field.
