When it comes to your compliance program are you doing all you should be doing? Do you wonder how you are measuring up?
Join us Thursday, June 14 at 2:00 PM ET as ACA's Enrique Carlos Alvarez and IAA's Sanjay Lamba and Sarah A. Buescher present the results of this year's survey and provide industry insight regarding best practices for monitoring your compliance program, emerging trends in the administration of compliance, and hot issues in Investment Adviser compliance. In addition, the speakers will provide practical observations regarding the results of the survey.
This is the 13th 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 covered a range of topics, including:
If the date and time do not work for you, as part of your registration, an archived version of the live event will automatically be emailed to you when it becomes available.
- Data Analytics
- Fees & Expenses
- Advertising/Social Media
- Soft Dollars
- Best Execution
- Individual Clients
- Investment Mandates
Survey participants may attend this webcast free of charge. To access the event at no fee, please be sure to use the code you received after completing the survey.
Individuals who did not participate in the survey are welcome to attend the webcast. The fee to attend is $225. This webcast is not eligible for the C3 client discount code. Please contact firstname.lastname@example.org
for more details.