Compliant Research Practices for Asset Managers

Aligning Effective Front-Office Research Processes with Your Compliance and Cybersecurity Programs [Whitepaper]

Does your fund’s approach to research management and front-office technology strengthen your compliance posture for SEC Rule 204-2 for Investment Research and Electronic Record keeping, The Compliance Rule 206(4)-7, Regulatory S-P, MiFID II, and more?

Download the Whitepaper to Learn:

The industry compliance fundamentals that should form part of any fund research management process or front-office pre-trade technology program, including:

  • The 5 Rules & Practices for Compliant Research Capture, Storage, Access and Management
  • The User Experience: A Culture of Compliance and the Pre-Trade Research Process
  • Cybersecurity Risks, Regulations and the impact on Your Research Operations

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