Meetings Compliance - Mosaic Research Management

Meetings Compliance

Simplify your life and impress your regulators and investors with a central dashboard for meetings compliance

The Research Compliance Monitor App is a tool geared specifically to hedge funds and other investment firms that allows them to automatically capture a record of all proposed and scheduled research meetings, streamline their compliance workflows, and create an easy system for reporting and audit.

It’s easy to implement, ROI is measured in weeks, and it runs on the platform (operated by so it’s scalable, reliable and safe.

  • Central Compliance Dashboard for Approvals: Are you still approving research calls and meetings via email and on vendor portals?  Simplifying the administrative burden of the compliance review and approval process can save time for your compliance team, and get research meetings scheduled faster for your analysts.
  • Visible, Streamlined Compliance: With investor pressure and SEC pressure to control research risk (i.e. insider trading risk), not having a tangible database for tracking your research usage can make a poor impression with those valuable stakeholders.  Most funds are still managing their processes on a combination of email, Excel, and vendor portals; rather than a dedicated platform for meetings compliance.  Do you have that platform in place?
  • Single Database for Meeting Compliance Records: Most funds capture a record of research meetings long-hand, via monthly report from their vendors, or by doing a weekly scrape of the analysts’ calendars.  With Research Compliance Monitor, all of your research meetings are automatically captured in a single location, along with your compliance records for those meetings – broker calls, corporate access, expert calls, etc.  You can find information with the push of a button and create reports and alerts to help drive your business process.


I don’t know how I ever lived without the MosaicRM app for managing my meetings compliance reviews and approvals.  All of my workflows, approvals and records are in one place.  It makes this part of my job easy”

-Chief Compliance Officer, $2 billion NY-based hedge fund

Learn more…

If you’ve received a Demo Invite via email, please reply to your Mosaic representative to schedule.

MosaicRM Research Compliance Monitor demos are currently available on a by-invitation basis.