2017 Investment Management Compliance Testing Survey - Now Open

April 27, 2017

Thank you for participating in the 2017 Investment Management Compliance Testing Survey, organized by ACA Compliance Group, the Investment Adviser Association, and OMAM. 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 12th 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. This year’s survey covers topics in the following areas:

  • Branch Office Supervision
  • Use of Automation
  • Fees and Expenses
  • Wrap Programs
  • Whistleblowing
  • Business Continuity and Transition Planning
  • New Regulations
  • International Regulation (MiFID II)

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 23, 2017. 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. You will not be able to save partially-completed responses, so please plan to complete the entire survey in one sitting.

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.

Please note: If you indicate that you do not test in a particular subject area, the survey will automatically skip over follow-up questions in that area, which list examples of possible tests. Because these testing examples are a valuable resource for all compliance professionals, a full printed copy of the survey questions will be provided to participants, along with a copy of the aggregate survey data.

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 June 8, 2017. 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.

For questions please contact:

Lynne M. Carreiro, Managing Director, ACA Compliance Group
lcarreiro@acacompliancegroup.com, +44 (0)20 7042 0500

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

Amy Yuter, Deputy Chief Compliance Officer, OMAM
ayuter@omam.com, (610) 578-1387

Thank you in advance for your participation!