Now in its 17th year, the Investment Adviser Compliance Testing Survey is a joint project of the Investment Adviser Association, ACA 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:
Complete the form to download the full breakdown of the survey's results.