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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Aaron Nicodemus2023-07-13T17:55:00
The most popular mock exams conducted by compliance professionals at investment adviser firms this year have been on the Securities and Exchange Commission’s (SEC) advertising/marketing rule, according to a new poll.
Of the 581 respondents to an online survey conducted by the Investment Adviser Association (IAA), ACA Group, and Yuter Compliance Consulting in May, 64 percent said they either conducted mock exams already this year or have plans to do so. Twenty-nine percent of respondents said they had not scheduled mock exams this year.
Of those firms to report conducting mock exams, 69 percent said the exams focused on advertising/marketing, up from 48 percent a year ago. Other popular exam areas included cybersecurity (65 percent); electronic communications surveillance (57 percent); vendor due diligence (44 percent); and environmental, social, and governance (40 percent).
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
Register for free
Receive the CW newsletter and access CPE webcasts.
2024-07-18T14:27:00Z By Adrianne Appel
Nearly three-quarters of compliance professionals at investment firms have made testing for off-channel and electronic communications surveillance a top priority in mock exams, according to a new poll, with more than half calling it the “hottest” topic of discussion.
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