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.
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds Introduces New Subcommittees on Smaller Advisers, Evolution of Advice April 2, 2021 The SEC’s Asset Management Advisory Committee’s (AMAC’s)...
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