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

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Photo: Getty Images

Jean Hurley, Martina Lindberg

2 min read
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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

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