HOW DOESYOUR COMPLIANCE PROGRAMMEASURE UP

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HAS YOUR COMPANY BEENSUBJECT TO OR DO YOU HAVEEXPERIENCE WITH AN FCPASETTLEMENT?

YES: 41%

NO: 59%

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175 ATTENDEES ANSWERED:

HOW DOES YOUR ORGANIZATIONEVALUATE THE EFFECTIVENESS OFLEGAL AND COMPLIANCE?AUTOMATION/DATA ANALYTICS: 8%

RISK ASSESSMENTS: 42%

ROI/FINANCIAL EFFECTIVENESS: 2%

ALL OF THE ABOVE: 47%

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170 ATTENDEES ANSWERED:

WHAT IS THE BIGGESTCOMPLIANCE INVESTMENT BYYOUR COMPANY?DATA ANALYTICS: 3%

THIRD PARTY DUE DILIGENCE/MONITORING: 51%

HIRING/TRAINING: 22%

RISK ASSESSMENTS AND COMPLIANCE REVIEWS: 17%

OTHER: 7%

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164 ATTENDEES ANSWERED:

BESIDES THE U.S., HOW ARE YOURCOMPLIANCE RESOURCESALLOCATED ACROSS THE GLOBE?MOSTLY IN CHINA AND SOUTHEAST ASIA: 32%

HEAVIER CONCENTRATION IN BRAZIL AND LATIN AMERICA: 13%

MOSTLY IN RUSSIA: 1%

MIDDLE EAST & AFRICA: 5%

OTHER: 49%

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166 ATTENDEES ANSWERED:

WHEN DO YOU HIRE AN EXTERNALPARTY TO CONDUCT A RISKASSESSMENT?ALL THE TIME: 27%

ONLY IF THERE ARE ENFORCEMENT ISSUES ORPOST-SETTLEMENT: 15%

EVERY 2-5 YEARS: 37%

NEVER: 21%

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126 ATTENDEES ANSWERED:

WHO SCORES THE COMPLIANCEOFFICER IN YOUR COMPANY?INTERNAL AUDIT/FINANCE: 23%

LEGAL: 25%

THEY SCORE THEMSELVES: 10%

WE DON'T DO SCORING: 43%

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102 ATTENDEES ANSWERED:

MARK YOUR CALENDARS!

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