2021 Investment Management Compliance Testing Survey

Author

ACA Group

Publish Date

Type

Survey

Topics

  • Compliance

ACA Group, the Investment Adviser Association, and Yuter Compliance Consulting invite you to participate in the 2021 Investment Management Compliance Testing Survey (“2021 IMCT 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. 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 Monday, May 31, 2021.

This year we have made some changes to our survey structure to reduce the number of questions and to streamline the survey experience. This year’s survey covers 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:
    • Trade Errors
    • Meme (Volatile) Stocks
  • Trend Update:
    • Adviser Advocacy and Recommended Regulatory Priorities
    • "Hot” Compliance Topics

Those who complete the survey will receive complimentary access to the survey results webcast on June 22, 2021 at 2 p.m. ET

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 12 to 25 minutes to complete. 

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

Participate in the survey

About the Survey Sponsors

ACA Group

ACA Group (“ACA”) is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape. Our global team of regulatory compliance professionals includes former SEC, FINRA, FCA, CFTC, NFA, and state regulators, as well as former senior managers from prominent financial institutions and advisory firms. We work with compliance and legal professionals to review and develop compliance programs based on best practices, current regulatory requirements, and robust oversight processes. 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 $25 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 LinkedInTwitter and YouTube.

Yuter Compliance Consulting, LLC

Amy Yuter is the Managing Principal of Yuter Compliance Consulting. Amy has over 25 years of industry and SEC regulatory experience in securities law compliance. Her responsibilities have included oversight of investment advisers, investment companies, transfer agents, broker-dealers, and private funds. Amy previously served as a Director of the National Society of Compliance Professionals, has participated as a member of various committees at the Investment Adviser Association and the Investment Company Institute and founded the Philadelphia Compliance Roundtable and the Investment Management Compliance Testing Survey.

Questions?

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

Enrique Alvarez, Director
​​​ACA Group
929-946-5428
[email protected]
​​​​
Sanjay Lamba, Associate General Counsel
​​​​​​Investment Adviser Association
202-293-4222
[email protected]

Amy Yuter, Managing Principal
Yuter Compliance Consulting
215-550-1508
[email protected]