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ACA Compliance Group, Global Relay, and the NSCP Invite You to Participate in the 2015 Broker-Dealer Best Practices Survey
This year's Broker-Dealer Best Practices Survey seeks information on trends in consolidated supervision rules, risk management, cybersecurity, complex/alternative products, private placements, dual registration issues, new background check requirements, and other subject areas.
We hope you will take time to participate. The information you contribute will generate valuable feedback for you and your peer firms regarding broker-dealer compliance practices. The survey results will also provide insights that can be put to practical use at your firm.
As in prior years, this survey will be conducted "blind" to encourage candid answers – that is, you will not have to identify yourself or your firm. You may also skip questions at your discretion.
IMPORTANT: The survey CLOSES on Friday, July 10, 2015. You should complete your responses by this date to qualify for the complimentary follow-up webcast on August 11, 2015. Note that partially completed responses cannot be saved on the system, so please plan to finish the survey at one sitting. (Answering the questions should take approximately 15-20 minutes.) We also request that only one person per firm complete the survey. If you are not your firm's Chief Compliance Officer, please check with him or her before taking the survey to avoid duplicate responses.
ACA, Global Relay, and the National Society of Compliance Professionals will be sponsoring a webcast to discuss the results of the survey. During this event, our panelists will discuss the survey results and highlight industry best practices. (Survey participants can register for the webcast via a link included in the questionnaire.)
For questions please contact
John Russo, Vice President, Global Relay
firstname.lastname@example.org, (866) 484-6630
Dee Stafford, Director, ACA Compliance Group
email@example.com, (310) 322-8840
Lisa Crossley, Deputy Executive Director, NSCP
firstname.lastname@example.org, (860) 672-0843
Thank you in advance for your participation!