Practical Insights for Compliance Officers [Webinar] - C Suite Compliance Survey

C Suite Compliance Survey

Mr. Cipperman will assess the most impactful regulatory developments of 2016, review results of the recent CCS survey of financial industry C-Suite opinion leaders, and give you his take on the fluid regulatory environment.This webinar was co-hosted with Todd Cipperman of Cipperman Compliance Services on Nov 17th.


 You can download a full copy of the slides from this webinar.



Full video transcript available below:

.Interestingly enough, we took a look at every year we do a survey of C-Suite executives and we get some results. We setup some fairly interesting results this year that 42% of those we polled had not undergone an SEC exam in the last three years despite all the concerns about SEC exams, which sort of supports the fact that the SEC needs more resources or needs to find a better way to do exams. It also means that those 42% could expect a review anytime soon

Compliance as a function is gaining in reputation. 56% of our respondents view compliance as necessary to protect their reputation, which is different than prior years, which was further on down the pecking order as in the cost of doing business or a necessary evil. Consistent with our polling here, there has been little change in whistleblower or personal liability policies. We actually found that that’s very consistent. We are also finding increasing spending and a reduced number of those that are dual headed so that’s some interesting survey results going on in the compliance industry.


This webinar was co-hosted with Todd Cipperman of Cipperman Services LLC. To learn more visit


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