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

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