ACA Compliance Testing Survey: Hot Topics, Compliance Programs, BCPs and the Pandemic (Part One of Two)

ACA Compliance Group (ACA) recently completed its 2020 Investment Management Compliance Testing Survey, which it conducted in cooperation with the Investment Adviser Association (IAA) and Brightsphere Investment Group. This article, the first in a two-part series, covers the survey’s results as to hot compliance topics, compliance programs, business continuity plans and the impact of the coronavirus pandemic. The second article will examine the results relating to Form CRS; anti-bribery and anticorruption controls; and cybersecurity and privacy. Both articles include additional insights from Enrique Alvarez, senior principal consultant at ACA, who discussed the survey’s results with the Hedge Fund Law Report. See our coverage of the 2018 ACA‑IAA investment management compliance testing survey: “Fees and Expenses, Investment Mandates, Big Data and Custody” (Aug. 2, 2018); and “Best Execution, Soft Dollars, Advertising, Individual Clients and Cryptocurrency Trading” (Aug. 9, 2018).

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