Compliance Tools
Assists research firms with the compliance of research-related regulations.
  • A web-based platform provides more than 25 broker-dealers with cost-effective tools.
  • The module offers a cost-effective third party compliance solution for sell-side and independent research providers while fulfilling charting and research disclosure requirements for broker/dealers.
  • Rating Plotters Charts, which discloses historical stock ratings and price targets, can be automatically generated and included in research reports with compliance-related graphics all at the click of a button.
  • An automated system easily integrates into the research workflow process.
  • Real-time administrative functions enable users to quickly edit data for efficient reporting.
  • Research creation, compliance and delivery systems assist research providers in creating sophisticated institutional reports, differentiating their products while communicating with clients in richer words than buy, sell, or hold.