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Investment Management Compliance Testing Surveys

The Investment Adviser Association, ACA Compliance Group, and Yuter Compliance Consulting conduct an annual online survey of compliance professionals. Based on the survey results, the reports identify the types of compliance testing practices and strategies investment adviser firms are using in the areas of annual reviews, personal trading, gifts and entertainment, political and charitable contributions, insider trading, soft dollars, trade allocation, business continuity, and books and records.

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