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Surveys
2009
May
T
Trading Survey
Trading Survey
0%
*
1. How many trade errors did you have this week?
0
1
2
3
More than 4
*
2. How many overdue actions do you have?
None
1 to 5
6 to 10
11 to 20
More than 20
*
3. For how many clients did you have to cancel trades after the trades were already submitted?
0
1
2
3
More than 3
*
4. How many clients had Level 2 corrections made to any of your approved trades?
0
1-3
4-6
7-9
10 or more
*
5. Either by you, or under your supervision, are the presentations in the investment curriculum on track to meet the quarterly goal of one completed book?
Less than 25%
25% to 50%
50 to 75%
75% to 99%
Done
*
6. Did trading operations proceed as scheduled this week?
Yes
No
*
7. Did you audit all accounts to check for correct asset class allocations?
Y
N
*
8. Did you audit iRebal client settings and resolve any problems? (Select all that apply)
Ran audits company-wide
Ran audits for certain client groups
Resolved all the issues
Resolved some of the issues
Resolved none of the issues
No audit
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