2018 Investment Management Compliance Testing Survey

May 2, 2018

ACA Compliance Group and the IAA invite you to participate in the 2018 Investment Management Compliance Testing Survey. The survey is open to compliance professionals at SEC-registered investment advisers. The survey will remain open through Friday, June 1

Now in its 13th year, the survey is the most comprehensive resource available for identifying the top concerns of compliance professionals. By participating in the survey, you will gain access to a variety of testing strategies that you can put to practical use at your own firm, as well as assist the industry in identifying compliance trends. Last year’s survey was overwhelmingly successful, with responses from nearly 600 compliance professionals.

This year’s survey covers a range of topics, including: Fees & Expenses, Advertising/Social Media, Individual Clients, Data Analytics, Custody, Soft Dollars, Best Execution, Cryptocurrency, and Investment Mandates.

The survey also contains trend update questions about Cybersecurity, Pay-to-Play, Form ADV and other compliance hot topics.

A webinar on the survey results – exclusively for survey participants – will take place on June 14. 

We do ask that only one compliance professional at each firm complete the survey. The survey will take approximately 30 minutes to complete and is conducted on a “blind” basis. All participants will remain anonymous.


Take the survey here: 2018 Investment Management Compliance Testing Survey


For questions, please contact: 

Enrique Alvarez, Senior Principal Consultant, ACA Compliance Group
ealvarez@acacompliancegroup.com, (703) 419-0747

Sanjay Lamba, Assistant General Counsel, Investment Adviser Association
sanjay.lamba@investmentadviser.org, (202) 293-4222

About ACA Compliance Group:
ACA Compliance Group (“ACA”) is a leading provider of risk management and technology solutions that focus on regulatory compliance, performance, financial crime, and cybersecurity. We partner with our clients to help them mitigate the regulatory, operational, and reputational risks inherent in their business functions. Our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, broker-dealers, and domestic and international banks. Our products include standard and customized compliance packages; cybersecurity, AML, and risk assessments; GIPS® verifications and other performance services; and a wide variety of business advisory and technology solutions for financial services firms.

About the IAA:
The IAA is the leading organization dedicated to advancing the interests of SEC-registered investment advisers. The IAA’s more than 640 member firms range from many of the world’s largest asset managers to the small and medium-sized firms that reflect the core of the investment management industry.  Collectively, our members manage more than $20 trillion for a wide variety of individual and institutional clients, including pension plans, trusts, mutual funds, private funds, endowments, foundations, and corporations.  For more information about us, please visit www.investmentadviser.org