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Summary Report: 2024 Investment Management Compliance Testing Survey

Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.

July 15, 2024

Keywords: Climate, Compliance Testing Survey, Conflicts of Interest, Cybersecurity, Fees and Expenses, Marketing Rule, Off-Channel Communications, Private Funds, Recordkeeping, Research

Categories & Topics: Industry Trends, Industry-Level

Comments on Proposed Cybersecurity Rules for Advisers

We recommend changes to proposed cybersecurity rules that would require investment advisers to adopt and implement written cybersecurity policies and procedures with specified elements, report significant adviser cybersecurity incidents to the Commission, disclose significant adviser cybersecurity risks and incidents to clients, and maintain related books and records.

April 11, 2022

Keywords: Advocacy, Cybersecurity, SEC

Categories & Topics: Compliance, Cybersecurity/Privacy

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