Tag: Compliance Testing Survey
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
Tags: AML, Artificial Intelligence , Compliance, Compliance Testing Survey, Cybersecurity
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
Tags: Climate, Compliance Testing Survey, Conflicts of Interest, Cybersecurity, Fees and Expenses, Marketing Rule, Off-Channel Communications, Private Funds, Recordkeeping, Research
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
SEC Marketing Rule Continues to Dominate Investment Advisers’ Compliance Concerns, Survey Reveals
Cybersecurity and electronic communications follow closely behind Washington, DC (July 13, 2023) – For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the...
July 13, 2023
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
Tags: BCP, Compliance, Compliance Testing Survey, Coronavirus, COVID-19, Cybersecurity
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