Skip navigation

Advisor Viewpoints on Compliance and Regulation


Cybersecurity threats increasingly haunt registered investment advisory firms, topping the list of concerns among staff members and principals in charge of compliance, according to the results of our 2019 regulatory and compliance readers survey.

Here, we compare the results of our 2019 survey with the one deployed in 2017 to try and tease out the trends. While compliance headaches around the DOL’s fiduciary rule have faded into the background, concerns around data integrity and social media have increased in priority to fill the vacuum. Advisors have increased spending on compliance and report facing a slight uptick in audits from regulators as well.

(2019 data was collected via electronic survey from Aug. 5, 2019, to Sept. 10, 2019. Only respondents who were responsible for compliance at their firms were included. n=120.)

Hide comments


  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.