2020 Investment Management Compliance Testing Survey

ACA Compliance Group, Investment Adviser Association, and BrightSphere Investment Group invite you to participate in the 2020 Investment Management Compliance Testing Survey. This survey, now in its 15th year, gathers anonymous information from US investment advisers of all types and sizes for the purpose of reporting on industry trends. The survey will remain open through Sunday, May 31, 2020.

This year we have made some changes to reduce the number of over all questions and streamline the experience by utilizing survey logic to determine if certain questions (or answers) are applicable. This year’s survey covers the following areas:

• Business Continuity Planning (with a focus on COVID-19)
• Form CRS
• Anti-Bribery and Corruption
• Cybersecurity and Data Privacy
• Trend Update: "Hot” Compliance Topics

Those that complete the survey will have complimentary access to the subsequent webcast on June 25, 2020 at 1 p.m. ET when we will present the results. 

Please note this survey is open to compliance professionals at SEC-registered investment advisers. We ask that only one person per firm complete the survey. If you are not your firm’s Chief Compliance Officer ("CCO"), please check with your CCO before completing the survey, to avoid duplicative responses. The survey should take approximately 12 to 25 minutes to complete. 

As a reminder this survey is conducted on a “blind” basis, so that all participants will remain anonymous. You will not be required to enter your identity, nor the identity of your firm. Moreover, all individual responses to the survey will be held strictly confidential and will not be revealed to any third party.

Questions?

If you have any questions, please feel free to contact any of the following individuals:

Enrique Alvarez, Senior Principal Consultant
​​​ACA Compliance Group
703-419-0747
enrique.alvarez@acaglobal.com
​​​​
Sarah Buescher, Associate General Counsel
Investment Adviser Association
202-293-4222
sarah.buescher@investmentadviser.org

Sanjay Lamba, Associate General Counsel
​​​​​​Investment Adviser Association
202-293-4222
sanjay.lamba@investmentadviser.org

Amy Yuter, Chief Compliance Officer
BrightSphere Investment Group
617-369-7368
ayuter@bsig.com

About the Survey Sponsors

About ACA Compliance Group
ACA Compliance Group (“ACA”) is a leading provider of governance, risk, and compliance advisory services and technology solutions. We help our clients manage regulatory compliance, cybersecurity and risk, and performance verification through our consulting, outsourcing, and technology solutions. Our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, broker-dealers, and domestic and international banks. For more information, please visit www.acacompliancegroup.com.
 
About BrightSphere Investment Group
BrightSphere Investment Group (“BrightSphere”) is a diversified, global asset management company with approximately $204 billion of assets under management as of December 31, 2019. Through its seven, majority-owned, world-class investment management Affiliates, BrightSphere offers sophisticated investors access to a wide array of leading quantitative and solutions-based, private and public market alternative, and liquid alpha strategies designed to meet a range of risk and return objectives. For more information, please visit www.bsig.com.
 
About the IAA
The Investment Adviser Association ("IAA") is the largest organization dedicated to advancing the interests of SEC-registered investment advisers. For more than 80 years, the IAA has been advocating for advisers before Congress and U.S. and global regulators, promoting best practices and providing education and resources to empower advisers to effectively serve their clients, the capital markets, and the U.S. economy. The IAA’s member firms manage more than $25 trillion in assets for a wide variety of individual and institutional clients, including pension plans, trusts, mutual funds, private funds, endowments, foundations, and corporations. For more information about IAA, please visit www.investmentadviser.org.