AI, Predictive Analytics Identified as Top Compliance Concern Among Advisers
Artificial Intelligence and predictive analytics have ranked as the leading priority among compliance officers, according to the 2025 Investment Management Compliance Testing Survey.
July 22, 2025
SEC Marketing Rule Continues to be Top Compliance Concern, Survey Shows
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 14, 2023
New SEC Marketing Rule Now Top Compliance Concern, Survey Shows
Implementing the SEC’s new Marketing Rule for Investment Advisers is the number one worry for investment adviser compliance officers, according to the 2021 Investment Adviser Compliance Testing Survey. Advisory firms...
September 07, 2021
Biden Administration Acts Aggressively on Day 1 Regarding Regulatory Process
President Joe Biden was sworn into office on January 20, 2021, and right out of the gate issued several executive orders and presidential actions that in many cases overturned actions...
January 26, 2021
2020 Investment Management Compliance Testing Survey: BCP Related to COVID-19 Now Top Compliance Co July 17, 2020 Business Continuity Planning related to COVID-19 is now the top concern of...
July 17, 2020
SEC Announces 2020 National Compliance Outreach Seminar on April 21
SEC Announces 2020 National Compliance Outreach Seminar on April 21 March 11, 2020 The SEC announced that its 2020 National Compliance Outreach Seminar for investment companies and investment advisers...
March 11, 2020
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