Investment Management Compliance Testing Surveys

The Investment Adviser Association, ACA Compliance Group, ACA Insight, and Old Mutual Asset Management conduct an annual online survey of compliance professionals. Based on the survey results, the reports identify the types of compliance testing practices and strategies investment adviser firms are using in the areas of annual reviews, personal trading, gifts and entertainment, political and charitable contributions, insider trading, soft dollars, trade allocation, business continuity, and books and records.

For more information, contact the IAA.

ul { list-style-image:url('images/collapsearrow.png'); }

Investment Management Compliance Testing Survey Reports and Results

Accessing China’s Asset Management Industry
Understanding the New SEC Guidance on the Custody Rule
Philadelphia Luncheon
Leadership Conference

Find out how you can join the more than 600 SEC-registered firms that are members of the IAA and start accessing our full range of advocacy, compliance and educational resources.