Liquidity Risk Management Program Rule Survey

March 20, 2019 by ACA Compliance Group


We invite you to participate in our second Liquidity Risk Management Program Rule Survey. We understand there is a continued need for transparency and insight into the various ways mutual funds, investment advisers, and sub-advisers are approaching the liquidity risk management program rule. By participating in this survey, you can help us identify trends in how firms are complying with, or getting ready to comply with the rule. Results will be presented later this spring so you can implement some of the most common practices at your firm.

The survey will close at 11:59pm ET on Wednesday, April 3. The survey should take approximately 30 minutes to complete. We ask that only one person per firm complete the survey. However, please feel free to complete both the fund and adviser-related sections, if applicable. If you are not your firm's CCO, please check with your CCO before completing the survey to avoid duplicative responses. ​​​​​Individual responses to the survey will be held strictly confidential. To encourage candid answers, you will not be required to enter your identity or the identity of your firm.

Click here to take the survey

Additional Resources

​​​​​Visit ACA’s Liquidity Risk Management Program Rule resource page for access to white papers (including last year's survey results), news insights, and webcasts to assist funds, ETFs, advisers, and sub-advisers in understanding the intricacies and requirements of the liquidity risk management program rule.

For More Information

If you have questions, please contact Maureen Colligan at mcolligan@acacompliancegroup.com.