Survey Results: Compliance Committees
1. Does your company have a Chief Compliance
Officer:(Total responses: n=45)
(select only one) |
| n=26 (57.78%) |
Yes, and with that title |
| n=12 (26.67%) |
Yes, but not with that title |
| n=7 (15.56%) |
No |
2. Does your board have a Compliance Committee, with that or a
similar title:(Total responses: n=45)
(select only one) |
| n=14 (31.11%) |
Yes |
| n=31 (68.89%) |
No |
3. If the answer to #2 is "yes," how old is the compliance
committee:(Total responses: n=14)
(select only one) |
| n=2 (14.29%) |
Less than one year |
| n=4 (28.57%) |
1-2 years |
| n=5 (35.71%) |
3-4 years |
| n=3 (21.43%) |
More than 4 years |
4. If the answer to #2 is "yes," how often does the compliance
committee meet: (Total responses: n=14)
(select only one) |
| n=2 (14.29%) |
Once a year |
| n=7 (50.00%) |
2-3x per year |
| n=5 (35.71%) |
More than 3x per year |
| n=0 (0.00%) |
As needed |
|
