Survey on Financial Enforcement Actions

Compliance.ai is researching how Risk and Compliance Professionals in the financial services industry are tracking and analyzing Enforcement Actions.  This survey should only take about 3 minutes to complete. 

Thank you in advance for your participation. 

All responses are anonymous. If you would like to receive a copy of the aggregated survey results. Please send an email to: support@compliance.ai 

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* 1. How do you keep track of or record relevant Enforcement Actions? (select all that apply)

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* 2. How do you track or monitor Federal or International Enforcement Actions? (select all that apply)

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* 3. How do you track or monitor State Enforcement Actions? (select all that apply)

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* 4. Which jurisdiction(s) are important to you? (select all that apply)

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* 5. Which aspect of the Enforcement Action do you pay attention to the most?

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* 6. What patterns or trends would you like to learn from Enforcement Actions? (select all that apply)

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* 7. How do you report on or disseminate Enforcement Action information? (select all that apply)

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* 8. Which of the following topics are important to you? (select all that apply)

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* 9. What is your title? (Please choose the closest option)

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* 10. What is the size of your Compliance and/or Risk Department?

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* 11. What is your organization's estimated total Assets Under Management (AUM)?

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* 12. (optional) Please provide your email address to be entered in a drawing to win a $100 Amazon Gift Card! We will randomly select 3 winners. Winners will be notified by email.

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