2023 Investment Management Compliance Testing Survey is Now Open


ACA Group

Publish Date



  • Compliance

ACA Group, the Investment Adviser Association, and Yuter Compliance Consulting invite you to participate in the 2023 Investment Management Compliance Testing Survey

This survey, now in its 18th 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 Friday, May 19, 2023.  

This year’s survey covers the following timely, high-focus topics: 

  • Best Execution 
  • COVID 19 – Return to Office 
  • Personal Devices and Approved Communication Methods  
  • Implementation of New Marketing Rule 
  • Environmental, Social, and Governance (ESG) 
  • Cost of Regulatory Compliance 
  • Data Privacy 
  • Oversight of Third Parties 
  • Proxy Voting  
  • Trend Update: "Hot” Compliance Topics 

Those who complete the survey will receive complimentary access to the survey results webcast on June 29, 2023 at 12:00pm 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 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.

Begin Survey

About the Survey Sponsors

ACA Group

ACA Group (ACA) is the leading governance, risk, and compliance (GRC) advisor in financial services. For over 20 years, we’ve empowered our clients to reimagine GRC to protect and grow their business. Our global team includes former regulators and practitioners with a deep understanding of the regulatory landscape. Our innovative approach integrates advisory, managed services, distribution solutions, and analytics with our ComplianceAlpha® technology platform. For more information, visit www.acaglobal.com

The Investment Adviser Association

The Investment Adviser Association (IAA) is the leading trade association representing the interests of fiduciary investment advisers. The IAA’s member firms collectively manage more than $35 trillion in assets for a wide variety of institutional and individual investors. In addition to serving as the voice of the advisory profession on Capitol Hill and before the SEC, DOL, CFTC and other U.S. and international regulators, the IAA provides extensive practical and educational resources to its membership. For more information, visit www.investmentadviser.org or follow the IAA on LinkedIn, Twitter and YouTube.

Yuter Compliance Consulting, LLC

Yuter Compliance Consulting provides advising and coaching services trusted by the industry’s chief compliance officers. Amy Yuter, Managing Principal of Yuter Compliance Consulting, has over 30 years of industry, consultation and SEC regulatory experience in overseeing investment advisers, investment companies, public companies, broker-dealers, and private funds. Amy is the founder of The Philadelphia Compliance Roundtable and the Investment Management Compliance Testing Survey. Yuter Compliance Consulting partners with clients to provide personalized consultation and support to enhance compliance resources and improve compliance programs. For more information, visit www.yutercompliance.com