Friday, October 7, 2022
HomeLife Insurance15 Hottest Compliance Matters for Advisors in 2022

15 Hottest Compliance Matters for Advisors in 2022


For the second yr in a row, advisors have named compliance with the Securities and Change Fee’s advertising rule as their No. 1 chore.

That’s in accordance with the newest 2002 Funding Administration Compliance Testing Survey, carried out by the Funding Adviser Affiliation, ACA Compliance and Yuter Compliance Consulting.

Promoting/advertising was recognized by 78% of survey respondents because the “hottest” compliance subject — up 20 proportion factors from final yr. (Respondents had been allowed to decide on multiple reply.)

Compliance professionals at 425 funding advisory corporations participated within the survey. All agency sizes had been represented.

When requested their anticipated timeframe for complying with the brand new SEC Advertising Rule, 69% of the corporations stated on or shortly earlier than the Nov. 4 compliance date; 10.86% stated they’re already complying; and 16.29% stated they’re “gearing as much as comply nicely prematurely of the compliance date.”

Learn the gallery above for the opposite high compliance challenges for advisors this yr.

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