Compliance

Our SAs liaise with your Compliance Department to ensure compliance with all relevant internal and external rules and regulations...

In liaison with your Compliance Department, our SAs understand and ensure compliance with all relevant internal and external rules, regulations, regulatory requirements and procedures that apply in respect of the publication of global research, and otherwise in connection with the conduct of the business of the Research Department.

Licensing: We undertake 1) to supply only licensed Series 16 holders, 2) to keep their licenses current and in force, and 3) to notify your firm promptly of any changes in the U-4 status of the SAs assigned to you. All our SAs currently have 'clean' U-4s.

Confidentiality: We recognise that confidentiality is implicit to the service we provide. 

Personal trading: No one associated with Chiappe trades for any account, personal or otherwise.

Related services

Supervisory Analysis | Research Editing | Business Editing & Proofreading