Library
The role meeting tracking played in the Rengan Rajaratnam verdict
Earlier this month, judge and jury for the U.S. District Court in Manhattan acquitted hedge fund manager Rengan Rajaratnam of insider trading. This marks the first acquittal during the recent crackdown on insider trading. We reviewed several good summaries of the...
Meeting Tracking: What information to capture…
This is our second installment in our series about systems for Meeting Tracking and Meeting Compliance that will satisfy your regulators and impress your investors while adding significant business value. In this installment, we outline what information is most...
Four Reasons to Track Analyst Meetings
Do your buy-side analysts conduct research meetings – such as management meetings, corporate access events, conferences or primary research (or expert) calls? If so, in our experience, your regulators and investors are going to ask about your recordkeeping and...
Analyst Meetings Compliance Scorecard
How do your meeting compliance workflows and recordkeeping compare to the best practices MosaicRM is seeing in the market today? Take five minutes to calculate your firm’s score and see how you stack up with our interactive scorecard. When answering, consider all...
Cheatsheet: 5 Essential Reports for "Proactive" Vendor Management
These five reports for managing vendors (research providers, brokers, and back office vendors) will help fund managers establish a dependable and "proactive" system to save money and help maximize the return on their vendor spend. A Vendor Relationship Management...
White Paper: 5-Step Checklist for Easy Vendor Onboarding for Fund Managers
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 8,...
White Paper: The Definitive Guide to Primary Research Compliance
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...
How to Legally Interview Customers and Suppliers, Part 1
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...
Webinar: 4 Research Compliance Tools to Protect Your Firm
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 know -...