Research Compliance

We assist clients with their obligation to comply with research safe harbors rules.

Research Compliance Services Include:

  • CRC partners with clients’ Compliance and Research teams during reporting season, early in the morning, late at night or whenever your Compliance team is short staffed to get research out quickly and efficiently.
  • Whether your firm produces equity or fixed income research, CRC offers support to clients to review and clear research to avoid securities law violations, gun jumping, and delays in publications.
  • Our team consists of seasoned Control Room Compliance and Supervisory Analyst (“SAs”) professionals.
  • We assist clients with their obligation to comply with research safe harbors rules (e.g. – Securities Act Rules 137, 138 or 139, Regulation M, Rules 14e-3 and 14e-5 under the Securities Exchange Act of 1934), while working with your SAs to efficiently publish and issue research.
  • We are also available to partner with clients to:
    • Chaperone interactions between research and investment banking personnel
    • Clear vetting request
    • Develop Research compliance policies and procedures
    • Comply with research disclosure requirements per FINRA rule 2241 and 2242
    • Wall crossing requests

What We Do

At Compliance Risk Concepts, we provide clients with the critical skills and expertise required to establish, maintain and enhance a balanced and effective compliance operational risk management program. Contact us for more information on how we can provide financial consulting services for your organization.

Contact Us

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