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Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Research Supervisory Analyst (SA) Services

Drawing upon CRC’s deep capital markets experience, our research experts not only provide the highest degree of service levels, they also have the ability to handle demanding deadlines, and they appreciate our clients’ sense of urgency.

Our SA Services

CRC closely works with our research clients to ensure an efficient and cost-effective Supervisory Analyst (“SA”) approval process for equity and fixed income research. Our qualified SAs review and approve research material in an expeditious and time-sensitive manner. CRC’s SA Support service is also positioned to help our clients in the following areas:

  • Compliance with documenting and retaining records of analyst public appearances
  • Chaperone interactions between analysts and your firm’s investment banking or trading personnel
  • Oversight of issuer pre-publication fact-checking exercises
  • Periodic analyst certification requirements (e.g., quarterly Reg AC)

How Does it Work? Services

CRC will register one of our licensed SAs with your firm who can assist on a full-time, part-time or on an “as needed” basis. Many of our research clients leverage our SAs for busy reporting periods and in the event that they require extra “bandwidth” or a specific skillset that is not internally present.

Building the Business Case for

External SA Support

Full-time SAs often encounter significant periods of downtime. That downtime, of course, is downright expensive. Aside from direct compensation, a full-time employee will likely command a benefits package, occupy company real estate and require attention from other company support areas like HR and IT. Fortunately, there’s a more reasonable alternative – retaining an on-call SA through CRC.

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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.
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