2022 Investment Management Compliance Testing Survey

Thank you for participating in the 2022 Investment Management Compliance Testing Survey, organized by ACA Compliance Group, the Investment Adviser Association, and Yuter Compliance Consulting. 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. 

This is the 17th anniversary of the Investment Management Compliance Testing Survey and each year we seek to gather information for the purpose of reporting on industry trends since the initial launch of the survey in 2006. 

The 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. 

Please complete the survey no later than May 27, 2022. The survey will be closed after that date. The survey should take approximately 25 to 30 minutes to complete. The status bar at the bottom of the page will track your progress. 

Please answer candidly! The survey is conducted on a “blind” basis, so that 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. 

Again, thank you for participating in the survey. We plan to issue a summary of the results and conduct a webinar on the survey results on Wednesday, June 29, 2022. A full printed copy of the survey and aggregate survey data will be available to webinar participants. 

Upon completing the survey, participants will receive a complimentary webinar registration code, and can register immediately for the webinar. Please make a note of the code, as you will need to enter it for complimentary webinar registration.
 
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