by Ben Miller | Sep 20, 2013 | White Paper
Being able to quickly and safely work with new research vendors is a top priority for many fundamentally-driven fund managers and investment advisors, especially considering today’s competitive and regulatory environment. Using the Consolidated Checklist on Page...
by Ben Miller | Aug 12, 2013 | White Paper
The Definitive Guide to Primary Research Compliance is a step-by-step tutorial on quickly instituting a primary research compliance program that is in-line with current industry best practices. Armed with this guide, hedge funds and investment advisors can compare...
by Ben Miller | Jul 17, 2013 | Checklist
While the benefits of using primary research vendors are clear, the legality can seem a bit murky. One gray area is how analysts can safely conduct interviews with customers or suppliers of target companies. The information garnered from these subjects can be...
by Ben Miller | Jul 8, 2012 | Webinar Replay
If your competitors have better systems for primary research compliance, your investors could be lured elsewhere and the SEC could be concerned; costing your firm millions of dollars in redemptions and audit expenses. What you and your legal team probably don’t...
Recent Comments