Off-channel communication now top compliance concern, says IAA survey

Marketing comes in second place, with artificial intelligence appearing for the first time to complete top three.

Advisers’ concerns about off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey. The survey gathered feedback from compliance professionals at 595 investment adviser firms of all sizes.

Electronic communications surveillance/off-channel communications was identified by 59% of survey respondents as the “hottest” compliance

Free Trial

Register for free to keep reading.

To continue reading this article and unlock full access to GRIP, register now. You’ll enjoy free access to all content until our subscription service launches in early 2026.

  • Unlimited access to industry insights
  • Stay on top of key rules and regulatory changes with our Rules Navigator
  • Ad-free experience with no distractions
  • Regular podcasts from trusted external experts
  • Fresh compliance and regulatory content every day
Register for free Already a member? Sign in