2026 Investment Management Compliance Testing Report
See how your compliance program compares with investment adviser peers across AI governance, compliance testing, Regulation S-P readiness, third-party risk, staffing, and other critical priorities.
Now in its 21st year, the annual Investment Management Compliance Testing Survey gathered insights from compliance professionals at SEC-registered investment advisers on the issues shaping their programs in 2026.
The resulting 2026 Investment Management Compliance Testing Report gives compliance leaders practical benchmarks for evaluating their programs, identifying potential gaps, and prioritizing resources.
What You’ll Learn
Download the report to:
- Benchmark compliance testing priorities, budgets, and staffing against industry peers
- Assess how firms are strengthening AI governance, oversight, and testing
- Compare approaches to Regulation S-P readiness and third-party risk
- Identify the areas receiving increased compliance testing and resources
Key Findings
Benchmark Your Compliance Program Against Industry Peers
The report provides compliance leaders with anonymized, confidential survey findings and practical benchmarks designed to help them evaluate their programs against industry practices and emerging areas of focus.
Use the findings to assess where your firm’s approach aligns with peers, where gaps may exist, and where additional testing, governance, or resources may be warranted.
Want a preview of the findings? Read the announcement highlighting key results from the 2026 survey.
In Collaboration With
