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 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.
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
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