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Research Compliance

Most jurisdictions require financial institutions that produce or disseminate investment research to have policies and procedures dealing with the production and dissemination of their research reports, in order to proactively identify and manage conflicts of interest which may arise out of these research activities. LeishTon can work with you to develop world class investment research policy, manual, procedures and standards. We can also review your investment research policy, manual, standards and procedures as a distinct service or as an integral part of your compliance and Compliance function’s review. Key areas of interest in investment research include:

   Analyst supervision

   Role of supervisory analyst

   Research Report sign-off

   Analyst certification

   Conflict of Interest Management

   Compliance review

   Distribution of reports

   Important disclaimers

   Public appearance and marketing

   Pre-deal research

   Third party research

   Disclosure statements

   Analyst sitting on trading floors

   Personal Account Dealing

   Conflicts clearance

   References and plagiarism

   Changes in ratings

   Rating methodologies

   Jurisdictional restrictions

   Expected frequency of updates of research

   Checklist for research approval

   The role of the Compliance or Research Compliance function

   Disciplinary action for any breach of the research policy