Compliance function: feedback survey

Do you know who to contact about compliance questions?

Yes

Which Compliance service(s) impacts you the most?

Employee compliance (personal trades pre-clearance, code of conduct review, etc)

Marketing/advertising review

Regulatory filings

Compliance and cyber review of new vendors

KYC/AML

Compliance Training

With respect to employee compliance (incl ComplianceAlpha), what can we improve?

With respect to marketing review, what can we improve?

With respect to vendor review, what can we improve?

Do you feel that you have the level of compliance training that you need?

Too littleToo much

What changes, if any, would you like to see in compliance training (both in-person and online)?

Overall how happy are you with Greyhound's compliance service (e.g. Compliance Alpha, turnaround time for approvals, etc)?

Not fit for purposeFit for purpose

If you could improve anything else about the compliance infrastructure, what would it be?

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