BOARD DEMO — Sample data for illustration purposes
FID/FCI Pulse

Monthly Pulse Survey

Confidential. Your responses are aggregated and anonymized — no firm-level data is ever displayed.

Core Monthly Questions
Your firm's total AUA/AUM in billions of dollars
Total approved persons / dealing representatives
Non-registered assistants and all other employees not counted as representatives above
How are your overall staffing costs trending?
Of the staff counted above, how many work in compliance? Operations staffing is derived as the remainder — no need to ask it.
Full-time compliance
Part-time compliance
Split role — title includes specific compliance monitoring or tasks
Compared to last month, how do you view business conditions?
Quarterly Supplement (optional)

These questions appear once per quarter to track longer-term trends.

How confident are you that your KYC/KYP processes would pass a CIRO examination?
How ready is your firm for the Total Cost Reporting requirements?
Annual Supplement (optional)

These questions appear once a year to track account structure across the channel.

Approximate annual technology and infrastructure costs, including compliance technology
The portion of your technology spend attributable to compliance — surveillance, trade review, KYC/KYP, registration, regulatory reporting tools
All-in compliance cost: compensation for staff time spent on compliance functions (full-time, part-time, contract), compliance technology, and external consultants, audit, and legal
What percentage of your accounts are held in nominee name?
What percentage of your accounts are fee for service?
Which custodian holds the bulk of your clients' assets?
Takes under 1 minute. You can update your response anytime this month.

Submission Received

Thank you. Your data has been recorded and will appear in the anonymized industry dashboard.

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Federation of Independent Dealers / Fédération des courtiers indépendants — Pulse Survey Demo