Market Conduct Compliance Assessment Form
Evaluate your business's adherence to market conduct standards and identify areas for improvement.
Overall Market Conduct Compliance Status
*
Fully Compliant
Mostly Compliant
Partially Compliant
Non-Compliant
Adherence to Internal Policies
*
Rarely
1
2
3
4
Always
5
1 is Rarely, 5 is Always
Frequency of Market Conduct Incidents in the Past 12 Months
*
None
1-2 incidents
3-5 incidents
More than 5 incidents
Effectiveness of Controls in Preventing Misconduct
*
1
2
3
4
5
Employee Training Completion Rate
*
100% completed
75-99% completed
50-74% completed
Below 50% completed
Reporting Behavior and Channels
*
Rows
Always
Often
Sometimes
Rarely
Never
Incidents reported to management
1
2
3
4
5
Incidents reported via anonymous channels
6
7
8
9
10
Incidents reported to compliance team
11
12
13
14
15
Timeliness of Incident Reporting
*
Immediately
Within 24 hours
Within 3 days
Longer than 3 days
Escalation Procedure Awareness
*
All employees are aware
Most employees are aware
Some employees are aware
Few or none are aware
Follow-up Actions Taken After Incidents
*
Corrective training provided
Policy updated
Disciplinary action taken
No follow-up required
Other
Assessment of Compliance Culture (Rate the following statements)
*
Rows
Strongly Agree
Agree
Neutral
Disagree
Strongly Disagree
Management promotes ethical conduct
16
17
18
19
20
Employees feel comfortable reporting concerns
21
22
23
24
25
Compliance is integrated into daily operations
26
27
28
29
30
Submit Assessment
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