Implementing the Securities and Exchange Commission’s (SEC) new “marketing rule” for investment advisers tops the list of concerns among chief compliance officers in the industry, according to new research.
The 2021 Investment Adviser Compliance Testing Survey, conducted jointly by the Investment Adviser Association (IAA), ACA Group, and Yuter Compliance Consulting, polled compliance professionals at 350 investment adviser firms. It asked respondents to share their top concerns, in addition to the testing practices and strategies they are using to address core compliance topics.
