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Summary Report: 2023 Investment Management Compliance Testing Survey

For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management Compliance Testing Survey.

July 13, 2023

Keywords: Best Execution, Climate, Communications, Compliance Testing Survey, Data Privacy, ESG, Exams, Fees and Expenses, Marketing Rule, Personal Devices, Proxy Voting, Regulatory Compliance, Third Party Oversight

Categories & Topics: Compliance, Industry Trends, Industry-Level

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