Marketing Rule Toppled by Off-Channel Communications for Top Compliance Concern
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 17, 2024
The IAA and NRS, a COMPLY company, today published its annual Investment Adviser Industry Snapshot, which found that the sector grew by 2.1% in 2022, with 15,114 fiduciary investment advisers managing $114.1 trillion in assets for 61.9 million clients.
June 22, 2023
SEC Marketing Rule Continues To Be Top Compliance Concern, Survey Shows
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
June 30, 2022
UK FCA Proposes to Permit Re-Bundling for Research Under MiFID II Following Similar EU Changes
The UK FCA issued a consultation recently to scale back limits on the use of commissions to pay for research under MiFID II. Currently under MiFID II, managers have had...
May 18, 2021
In a welcome move, the European Commission published draft legislation on July 24 to reverse requirements under MiFID II to unbundle research from commissions for small and mid-cap companies and...
August 11, 2020
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