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Browse: Home / Surveys

Surveys

Hedge Fund Survey Shows Misconduct Believed to be Widespread – Compliance Week

By Securities Docket on April 4, 2013, 8:18 am

A recent survey of hedge fund professionals indicates that misconduct is widespread in the industry, and that a very large percentage of professionals in the industry are prepared to report wrongdoing to authorities. via Hedge Fund Survey Shows Misconduct Believed to be Widespread – Compliance Week

Posted in Industry, Top | Tagged Hedge Funds, Surveys

After One Year, 24% of UK Managers Still 'Dangerously Ignorant' About Bribery Act - Compliance Week

After One Year, 24% of UK Managers Still ‘Dangerously Ignorant’ About Bribery Act – Compliance Week

By Securities Docket on October 5, 2012, 3:28 pm

A recent survey of UK executives and managers shows many remain “dangerously ignorant.”

Posted in Global, Top | Tagged Surveys, UK Bribery Act

FINRA in 2009: Enforcement Trends and Results

FINRA in 2009: Enforcement Trends and Results

By Securities Docket on July 9, 2010, 9:27 am

Sutherland Asbill survey finds spike in 2009 fines.

Posted in Industry, Top | Tagged FINRA, Surveys

Public Now Views SEC More Unfavorably than IRS

Public Now Views SEC More Unfavorably than IRS

By Securities Docket on May 22, 2009, 1:04 pm

A recently conducted survey confirms that the Securities and Exchange Commission is now viewed unfavorably by a remarkable 55% of respondents. To put this into some context, the percentage of unfavorable opinions of the SEC exceeded even that of the Internal Revenue Service!

Posted in SEC | Tagged Surveys

Miller & Chevalier Latin America Survey Finds Corruption Remains Significant Obstacle

Miller & Chevalier Latin America Survey Finds Corruption Remains Significant Obstacle

By Securities Docket on October 28, 2008, 6:41 am

A Latin America Corruption Survey conducted by US law firm Miller & Chevalier and six Latin American law firms indicates that corruption continues to be a widespread and costly problem for businesses in the region. Miller & Chevalier’s Homer Moyer stated that “Respondents to our survey see corruption as a significant obstacle for their businesses. […]

Posted in Global | Tagged FCPA, Surveys

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