Survey: Advisers’ Top Compliance Concern is Off-Channel Communications

WASHINGTON–(BUSINESS WIRE)–Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today. 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 […]