2021 Investment Management Compliance Testing Survey Results

$230 for non-survey participants

ACA Group, the Investment Adviser Association, and Yuter Compliance Consulting invite you to join us on June 22 at 2:00 PM ET as we share the results of our 2021 Investment Management Compliance Testing Survey.

This survey, now in its 16th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends. This year we covered the following timely, high-focus topics:

  • COVID-19 Check-In
  • Advertising and Marketing
  • Climate Change Risks
  • Environmental, Social, and Governance (ESG)
  • Self-Reporting or Voluntary Requests
  • Select Trading Matters
  • Trends Update on “Hot” Compliance Topics and Regulatory Priorities


  • Enrique Alvarez, Director, ACA Group
  • Sanjay Lamba, Associate General Counsel, Investment Adviser Association
  • Amy Yuter, Managing Principal, Yuter Compliance Consulting

Registration Details

Survey participants may attend this webcast free of charge. If you participated in the survey and have not yet completed registration, please go here and enter the password you received on the final page of the survey to register.

Survey Participants Register Here

Individuals who did not participate in the survey are welcome to attend the webcast. The fee to attend is $230. Please use the link below to purchase access and register for the event. This webcast is not eligible for the C3 client discount code. 

Non-Survey Participants Register Here


If you need any assistance registering for this webcast, please contact webcastinfo@acacglobal.com