The World Has Changed Drastically. Has Financial Compliance Changed With It?

This survey will take no longer than 4 minutes to complete.

StarCompliance is trying to find out if the world of financial compliance has been affected by the current global environment caused by COVID-19. And if so, how exactly?

Rest assured that all the data we collect will be reported on anonymously. Your email will only be used to ensure you receive a free copy of the report once the data has been collated. Thanks in advance for your participation and we look forward to reporting back!

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* 1. Email

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* 2. Company Name

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* 3. Please select your primary firm type from the list below:

Asset Management

Broker Dealer

Diversified Banking Group

Investment Bank

Private Equity

Stock Exchange

Other (please specify)

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* 4. How many employees do you monitor?

Less than 200

201-500

501-1,000

1,001-5,000

5,001-10,000

10,000+

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* 5. Where does your firm operate? (select all that apply)

Asia Pacific

EMEA

North America

United Kingdom

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* 6. What has been the biggest challenge faced by your compliance team now that most employees are working remotely? (select all that apply)

Staying connected with your compliance team

Handling increased employee requests

Executing firm-wide communications

Onboarding new employees

Employees requesting policy exceptions

Other (please specify)

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* 7. In your opinion, how effective are your current compliance processes for your remote workforce?

Very effective

Somewhat effective

Needs improvement

Please explain:

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* 8. In your opinion, how effective is your current certification process for your remote workforce?

Very effective

Somewhat effective

Needs improvement

Please explain:

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* 9. Have you experienced an increase in trading activity amongst your employee base and, if so, by how much?

There has been little to no increase in trading activity

We are experiencing 1-2 times more trading activity

We are experiencing 3-4 times more trading activity

We are experiencing 5-6 times more trading activity

We are experiencing a more than 7 times increase in trading activity

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* 10. How are you currently managing your compliance program?

Mostly manual and paper processes

A mixture of manual processes and internally developed software

Largely internally developed software

Largely vendor software

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* 11. Are there compliance related projects or investments you have decided to defer due to the current environment?

Yes

Please explain:

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* 1. Email

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* 2. Company Name

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* 3. Please select your primary firm type from the list below:

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* 4. How many employees do you monitor?

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* 5. Where does your firm operate? (select all that apply)

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* 6. What has been the biggest challenge faced by your compliance team now that most employees are working remotely? (select all that apply)

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* 7. In your opinion, how effective are your current compliance processes for your remote workforce?

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* 8. In your opinion, how effective is your current certification process for your remote workforce?

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* 9. Have you experienced an increase in trading activity amongst your employee base and, if so, by how much?

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* 10. How are you currently managing your compliance program?

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* 11. Are there compliance related projects or investments you have decided to defer due to the current environment?

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* 12. What have you learned thus far about your compliance program from the current situation?