RMS Essentials: Investment Management Research Compliance

A Compliance Checklist: The Three Research Management Essentials for Industry Compliance  [Best Practice Guide]

Use this checklist as a guide to help ensure your research management technology and processes a) meet mandatory SEC regulations as they relate to investment research management and b) follow proven best practices that can help support competitive advantage.  

 

Download the Best Practice Guide to Learn:

Key assessment areas and must-haves to help meet (and anticipate) industry regulations, simplify auditing and reporting and, enable investment professionals best-practice, including checklists across:
  • Electronic Record keeping
  • Data Management
  • Communications Monitoring 
  • Visibility and Control
  • On-Demand data Retrievals
  • Accessibility
  • Audit Trails and User-productivity
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 Compliance Checklist Front cover Screen Shot