Compliance Tool Solutions - Philips Forbes

Thanks!

Just before we start, I would like to reassure you that any information you provide us with will be treated as confidential, and we will always hold the information you give securely, and delete it when no longer needed. Neither your name, nor the name of your organisation will be revealed to our client.

We conduct all studies in accordance with the UK Market Research Society Code of Conduct and, if you no longer wish to take part in the research, you can tell your interviewer at any time, and we will stop our conversation.

Can we proceed on the basis of the above?*

Yes

No

Thank-you for the time you have taken to review this discussion – I will contact you about different projects in the future, if this is of interest to you?

Thank you for your willingness to contribute to this survey - to ensure we receive anonymous feedback from a variety of different businesses and job functions, could you please advise:

SQ 1a) To what extent are you involved in decision-making for your organisation’s regulatory compliance tools?*

a. I am the final decision-maker

b. I am heavily involved in decision-making

c. I’m regularly contribute to decision-making

d. I’m sometimes involved in decision-making

e. I’m rarely or never involved

Please select one option: SINGLE CODE

SQ 1b) Are you involved in making decisions (re compliance tools) within your department / division, or across the whole organisation?*

a. Yes, within my department / division alone

b. Yes, across several or many departments / divisions

c. Yes, across the whole organisation

d. No, I’m not involved at all

Please select one option: SINGLE CODE

SQ 1c) How would you describe your organisation’s industry?*

a. Asset Management

b. Registered Investment Advisor (RIA)

c. Broker Dealer

d. Other - Please advise below

Please select one or more options: MULTICODE

Please specify*

SQ 2) What level of Assets Under Management (AUM) is your organisation responsible for?*

a. under $10B AUM

b. $10B-$100B AUM

c. greater-than $100B AUM

Please select one option: SINGLE CODE

SQ 3) Finally, could you briefly summarise the role of your department / organisation (adding other comments, if appropriate)?*

Please advise above (one or two sentences)

SQ 4) Thank you - we’d like to consider arranging an interview with you at a mutually convenient time either before, during or after work hours. The interview would be via Zoom/ Teams, and we’d like to record it. The recording will only be shown to relevant people who are involved in assimilating this research and would then be destroyed within 3 months. We would like to reassure you that everything you say will remain strictly anonymous according to the Market Research Society’s Code of Conduct. The interview would last for 60 minutes.

Is that OK?*

i. Yes, I’m happy for you to record

ii. No, I don’t give my consent for this interview to be recorded

Please select one option: SINGLE CODE

Thank you for the time you have taken to answer these screening questions – I would be grateful if you could confirm a few final details, including two or three suitable interview times, so that we can speak when it’s mutually convenient.

Name*

Job Title*

Job title of person you report to*

Phone (inc international dialling code)*

Email*

State*

LinkedIn profile link

We will be interviewing during w/c 6th or w/c 13th February - what are your preferred dates and (local) times for your 60 minute online conversation? *

Earliest Date and Time*

Next Date and Time (if available)

Online screening questionnaire – Compliance Tool Solutions