REGULATION/COMPLIANCE: Business Statistics

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Regulation/Compliance business statistics.

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REGULATION/COMPLIANCE: Business Statistics
APEX FUND SERVICES BNY MELLON CITI J.P. MORGAN NATIONAL REGULATORY SERVICES Northern Trust SEI U.S. BANK GLOBAL FUND SERVICES ULTIMUS FUND SOLUTIONS UMB FUND SERVICES
STAFFING PROFILE
Compliance Personnel
Average industry experience (in years) 20 25-30 23 20-25 30+ 8 10+ 16 15 21
Average tenure of compliance staff (in years) 20 N/A 21 7 15+ 5 5+ 8 6 17
Primary client contact and R/C staff at same location Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
Quality incentives available Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
Attorneys have SEC filing and ‘40 Act experience Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
Internal attorneys Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
# of documents filed with SEC annually 250+ N/A 500+ N/A 400 400+ >3000 3,532 6,246 500+
Former SEC regulators/examiners on staff No Yes No No Yes No No No Yes No
Former FINRA regulators/examiners on staff No No No No Yes No No No Yes No
Former CCOs on staff Yes Yes Yes No Yes Yes Yes Yes Yes No
Dedicated training staff/curriculum for comp. employees No Yes No Yes No No Yes Yes Yes No
% of dedicated training staff/curriculum for comp. employees ** N/A N/A N/A ** ** 0 N/A 7 **
Level of compliance employee turnover 1 ** 9 N/A < 10% None <10% 0 12 0
BUSINESS ESSENTIALS
% of staff with specialized designations 50 N/A 20 N/A 0 1 ** 0 10 1
# offices outside of the US 35 83 0 13 0 N/A 8 2 ** 0
# offices in Europe 16 26 0 5 0 N/A 4 1 ** 0
# offices in North America (Non-US) 4 17 0 1 0 N/A 3 1 ** 0

** - Not Reported
N/A - Not Applicable
N/AV - Not Available