IPC Survey reveals key areas of focus for Compliance Executives at Financial Services Firms

Ebook: Survey Reveals Key Areas of Focus of Compliance Executives at Financial Services Firms

The IPC Compliance survey reaffirms that, as global financial compliance requirements continue to evolve, it is a significant challenge to understand policy and manage the data tied to communications, interactions and transactions to ensure it is securely captured, archived, and analyzed. Financial services companies need expertise, guidance and technology solutions that holistically addresses their information governance challenges. This IPC Compliance Survey was conducted in-person by IPC Systems at the 2016 FINRA Annual Conference on May 23-24, 2016, in Washington DC. In total, 171 conference attendees were interviewed. The breakdown by title, type of firm and geography are included in the survey results.

This survey reveals the responses to the following questions:

  • What are the most important compliance-related issues facing your firm?
  • What is the most important technology compliance related issue?
  • Have your investments in compliance changed?
  • How well does your current risk and compliance strategy support your business goals?
  • How effectively does your firm use your risk and compliance strategy as a competitive advantage?
  • How would you rate the maturity of your communications risk and compliance management compared to other areas of compliance your organization is focusing on?