Compliance is a major challenge in every industry. But in an area such as investment advising, where firms and individuals are handling sensitive financial data and making important financial decisions—and are regulated accordingly—compliance can be an especially big job. The latest edition of a survey from the Investment Adviser Association, the ACA Compliance Group and Old Mutual Asset Management shows what regulatory and compliance issues are on investment advisers’ minds.
The “2014 Investment Management Compliance Testing Survey” was conducted this spring and drew responses from nearly 370 compliance professionals representing U.S. Securities and Exchange Commission-registered investment advisers. The data shows that although many established compliance issues are still on compliance officers’ desks, there are new regulatory risks emerging as hot topics and presenting new challenges.
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