2024 Investment Management Compliance Testing Survey Now Open

ACA Group, the Investment Adviser Association, and Yuter Compliance Consulting invite you to participate in the 2024 Investment Management Compliance Testing Survey.

This survey, now in its 19th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends. Your participation in this year’s survey will assist in providing valuable information to the investment adviser compliance community. Moreover, you will gain access to a variety of testing strategies that you can put to practical use at your own firm.

The survey will remain open through Friday, May 17, 2024.

This year’s survey covers the following timely, high-focus topics:

• Off-Channel Communications
• Code of Ethics, Gifts and Entertainment, and Political Contributions
• Anti-Money Laundering
• Advertising and the Marketing Rule
• Private Fund Oversight
• Artificial Intelligence and Predictive Analytics
• Trend Update: "Hot” Compliance Topics

Those who complete the survey will receive complimentary access to the survey results webcast on June 26th, 2024 at 12pm ET / 9am PT.

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 15 to 25 minutes to complete.

As a reminder, this survey is conducted on a “blind” basis so that all participants  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.

Begin Survey

About the survey sponsors

ACA Group

ACA Group (ACA) is the leading governance, risk, and compliance (GRC) advisor in financial services. For over 20 years, we’ve empowered our clients to reimagine GRC to protect and grow their business. Our global team includes former regulators and practitioners with a deep understanding of the regulatory landscape. Our innovative approach integrates advisory, managed services, distribution solutions, and analytics with our ComplianceAlpha^® technology platform. For more information, visit www.acaglobal.com.

The Investment Adviser Association

The IAA is the leading organization dedicated to advancing the interests of 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 $35 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, visit www.investmentadviser.org or follow us on LinkedIn and YouTube.

Yuter Compliance Consulting, LLC

Yuter Compliance Consulting provides advising and coaching services trusted by the industry’s chief compliance officers. Amy Yuter, Managing Principal of Yuter Compliance Consulting, is the founder of the Investment Management Compliance Testing Survey. Amy has 30 years of industry, consultation, and SEC regulatory experience in overseeing investment advisers, investment companies, public companies, broker-dealers, and private funds. Amy also founded the Philadelphia Compliance Roundtable and served as a Director of the National Society of Compliance Professionals. Yuter Compliance Consulting partners with clients to provide personalized consultation and support to enhance compliance resources and improve compliance programs. For more information, visit https://yutercompliance.com.

Questions

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

Aaron Pinnick, Research Consultant
ACA Group
929-946-5325
aaron.pinnick@acaglobal.com

William Nelson, Associate General Counsel
Investment Adviser Association
202-507-7214
william.nelson@investmentadviser.org

Amy Yuter, Managing Principal
Yuter Compliance Consulting
215-550-1508
ayuter@yutercompliance.com