2017 SIFMA Survey Results

The C-Suite and ComplianceIPC® surveyed many of the SIFMA C&L 2017 Annual Seminar attendees for new insights on the compliance issues their firms are facing and the investments in compliance-related technologies they are making. More than 81% of our survey respondents hold C-level positions in their firms or organizations. This includes Chief Risk Officers, Chief Data Officers and Chief Legal Counsels as well as CEOs, COOs and CIOs.

Three Issues Dominate Most Respondents’ Concerns

Compliance culture and conduct

Understanding new regulations and rules

Operationalizing response(s) to new regulations

89.3% 87.3% 86.4%

Data Management is Top Technology-Related Issue

Integration of communications records and archival

Network resilience/uptime

Data management

89.3%

91.2%

93.2%

How have your investments in risk and compliance changed in the last year?

How effectively does your firm use its risk and compliance strategy and investment as a competitive advantage?

Are Risk and Compliance Strategies Supporting Business Goals?

Political Issues Not Yet Weighing Heavily on Compliance Decisions

WHY IPC?

IPC is a technology and service leader that powers financial markets globally. Through service excellence, long-developed expertise and a focus on innovation and community, we provide agile and efficient ways for our customers to accelerate their ability to adapt to the ever–changing requirements for advanced data networks, compliance and collaboration with all counter-parties across the financial markets. www.ipc.com

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5.9%Investment increased by 10-20%

6.9%Investment stayedabout the same

83.1%Investment increased by 20% or more

Very effectively

81.5%

Somewhat effectively

10.6%

Not too effectively

2.9%

85.2%

9.8%

4.9%

80.5%

12.6%

1.9%

No impact – do not see a difference to our business

Somewhat – postponed key decisions for later in the year

Significantly – have changed decisions previously made

Very well

Somewhat well

Not too well & Not well at all