This free survey is powered by
  1. Surveys
  2. 2014
  3. October
  4. I
  5. ITA 3012 Risk Assessment
0%
Exit Survey
 
 
This questionnaire has been designed to review and evaluate firm specific risk as it relates to supervision and ongoing monitoring.
 
 
Please complete the product revenue assessment below:
% of Business
529 plans
Asset management
Direct market access equities
Direct market access options
Direct market access futures
Equities
Equity Index Annuities
ETF
Financial planning
Fixed income
% of Business
Foreign markets
High volume trading
Investment banking
Low priced securities
Mutual Funds
Mutual Funds direct
Options
Private placements
Proprietary trading
REIT
Senior citizens
Structured products
Variable annuities
Variable life
Variable Life settlements
 
 
Please complete the following:
Yes No
Does anyone client generate >5% of firm's business?
 
Please complete the following:
Yes No
Does anyone client generate >10% of firm's business?
 
Please complete the following:
Yes No
Does anyone client generate >15% of firm's business?
 
 
Has the firm had any changes to senior management in the prior 12 months?
 
Yes
 
No
 
 
Briefly describe the changes in senior management:
   
 
 
 
Has the firm approved any new products in the past 12 months?
 
Yes
 
No

 
 
Briefly describe the new product(s):
   
 
 
 
Has the firm closed in any locations in the last 12 months?
 
Yes
 
No

 
 
 
How many new representatives has the firm hired in the last 12 months?
   
 
 
How many representatives has the firm terminated in the last 12 months?
   
 
 
 
Has the firm had any regulatory requests in the last 12 months (SEC, FINRA, MSRB, State or SRO)?
 
Yes
 
No

 
 
 
Has the firm been notified of any regulatory deficiencies as a result of a pending regulatory request or examination?
 
Yes
 
No