Regulation/Compliance business statistics.
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