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2021 Investment Management Compliance Testing Survey Results

New SEC Marketing Rule Now Top Compliance Concern, Survey Shows

Now in its 16th year, the Investment Adviser Compliance Testing Survey is a joint project of the Investment Adviser AssociationACA Group, and Yuter Compliance Consulting. It is the most comprehensive resource available for identifying the top concerns of investment management compliance professionals and the types of compliance testing practices and strategies investment adviser firms are using to address core compliance topics.

The survey gathered anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends. This year we covered the following timely, high-focus topics:

  • COVID-19 Check-In
  • Advertising and Marketing
  • Climate Change Risks
  • Environmental, Social, and Governance (ESG)
  • Self-Reporting or Voluntary Requests
  • Select Trading Matters
  • Trends Update on “Hot” Compliance Topics and Regulatory Priorities