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 their existing compliance regime to that of their competition, to identify and fix gaps in their programs, before those gaps become the focus of regulators and investors.

The Guide’s topics include:

  • Vendor due diligence
  • Expert/consultant due diligence
  • Analyst training
  • Pre-project and pre-call reviews
  • Interview compliance
  • Post-call compliance and analyst feedback
  • Ongoing reporting and audit

Download This White Paper

Armed with this guide, hedge funds and investment advisors can compare their existing compliance regime to that of their competition, to identify and fix gaps in their programs, before those gaps become the focus of regulators and investors.

The Guide’s topics include:

  • Vendor due diligence
  • Expert/consultant due diligence
  • Analyst training
  • Pre-project and pre-call reviews
  • Interview compliance
  • Post-call compliance and analyst feedback
  • Ongoing reporting and audit

Download This White Paper