Please note this is a non-attributable survey. No individual or firm name will be divulged in the survey results.
1. Do you think the current Regulatory Compliance legislation is achieving its intended effect?
2. Specifically, please rate the general effectiveness or adequacy of the following regulatory compliance legislation.
3. Specifically, how effective are your firm's systems, policies, and procedures to meet SEC, FINRA, NASDAQ, NYSE compliance reporting requirements:
4. In general, how difficult is it for your firm to meet it’s overall compliance reporting requirements?
5. How effective would you say the following are in detecting compliance violations?
6. What is the current mix of internal vs 3rd party software used to address your Compliance needs?
7. Is the current Regulatory Compliance environment creating a major financial or resource burden on firms?
8. Has your spending on Risk Management and Compliance increased due to the regulatory mandates issued since 2009?
Thank you for taking the time to complete this survey. In return for your participation, we will:
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