Download the Results

By clicking submit, you are agreeing to our processing of your personal data under our Privacy Policy.

2022 Investment Management Compliance Testing Survey Results

SEC Marketing Rule Continues to be Top Compliance Concern, Survey Shows

Now in its 17th 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:

  • Private Funds
  • Digital Engagement Practices and Digital Investment Advice
  • Remote Office Supervision
  • Sanctions Compliance
  • Personal Devices and Approved Communication Methods
  • DOL Rollovers
  • Compliance Program Resourcing and Structure
  • SEC Examinations
  • Trend Updates:
    • Implementation of the New Marketing Rule
    • Environmental, Social, and Governance (ESG)
    • Cybersecurity
    • "Hot” Compliance Topics

Complete the form to download the full breakdown of the survey's results.