Comprehensive Compliance Programs
Supervisory analyst review services
Experienced chief compliance officer oversight
Wholly-owned broker dealer affiliate
DDQ & disclosure management services
Corporate access speaker vetting process
Compliance Oversight Platform
• Compliance manual
• Employee Handbook / Code of Conduct for independent contractors
• Corporate access and expert presentations policy
• Speaker / consultant vetting form
• Due Diligence Questionnaire response
• Personal trading policies & surveillance
Note Approval Process
• Submit your note for approval by our compliance team
• Email notifications for full transparency surrounding approval / publishing progress
• Choice to automatically publish once compliance approves, push the publish button yourself, or schedule the note to be released at a specified time
Online DDQ Requirements
Your buy-side clients will have a list of DDQ requirements that Analyst Hub will be sure your firm adheres to.
• Email archiving and surveillance
• Escalation process for any MNPI issues
• Terms of use for social logins, website cookies, GDPR, and other online necessities
• Automatic disclosure addition to website notes, PDF exports, and email dissemination