2024 Investment Management Compliance Testing
Survey Results

Now in its 19^th year, the Investment Management Compliance Testing Survey is a joint project of the Investment Adviser Association, ACA Group, and Yuter Compliance Consulting. It is the most comprehensive resource available for identifying the top concerns of investment management compliance professionals and the types of compliance testing and control practices investment adviser firms are using to address core compliance topics.

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

• Off-Channel Communications
• Code of Ethics, Gifts and Entertainment, and Political Contributions
• Anti-Money Laundering
• Advertising and the Marketing Rule
• Private Fund Oversight
• Artificial Intelligence and Predictive Analytics
• Trend Update: "Hot” Compliance Topics

Download our report for the full results of the survey.