CCI staff share recent surveys, reports and analysis on risk, compliance, governance, infosec and leadership issues. Share details of your survey with us: editor@corporatecomplianceinsights.com.
Survey: Off-channel comms surpass marketing rule as top concern for investment advisers
Investment advisers’ concerns of off-channel communications has eclipsed the SEC’s marketing rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey.
Electronic communications surveillance/off-channel communications was identified by 59% of survey respondents as the hottest compliance topic. Advertising/marketing followed closely by 57% of respondents and AI/predictive analytics debuted in third place, with 46% of respondents including this on their list of hot topics. Other hot topics generally aligned with the SEC’s exam, enforcement and rulemaking priorities.
The 2024 survey, conducted online throughout May, covered a wide range of topics and offered extensive insight into common control strategies. In addition to the top compliance hot topics, the survey provided notable findings on subjects such as:
- The industry is focused on SEC exams, with 83% of respondents reporting that they are undergoing an exam or have been examined in the past five years. The top examiner…
