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Summary Report: 2024 Investment Management Compliance Testing Survey
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 15, 2024
Summary Report: 2023 Investment Management Compliance Testing Survey
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 13, 2023
Summary Report: 2022 Investment Management Compliance Testing Survey
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
June 30, 2022
Public Input on Climate Change Disclosures
The IAA weighed in on the ESG corporate disclosure debate with a letter to the SEC stressing the importance of facilitating sustainable investing by advisers on behalf of their clients and calling for consistent, comparable, and reliable baseline corporate issuer disclosures of climate- and ESG-related risks.
June 11, 2021
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