Press Release: 2023 Investment Management Compliance Testing Survey

SEC Marketing Rule Continues to Dominate Investment Advisers’ Compliance Concerns, Survey Reveals Cybersecurity and electronic communications follow closely behind See Full Report Here WASHINGTON–(BUSINESS WIRE)–For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management […]