Supervisory Analysis
As trained Series 16 registered Supervisory Analysts, we can ensure your investment materials are compliance-proof and approved for distribution in the US on an ongoing basis. We are well versed in the latest FINRA/SEC and FSA regulations for compliance matters relating to research and investment communications materials, and highly experienced in applying these rules, so can ensure that all your research and marketing notes are fully compliant.
What we offer?
We work with clients to ensure a seamless supervisory analysis approval service for their investment research materials. With our series 16-qualified SA's we can guarantee US distribution readiness within tight turnaround requirements to suit.
We offer a thorough knowledge of FINRA Series 16 rules and regulations, and the initiative to prioritise and handle tight deadlines with a sense of urgency.
How we do this?
We register one of our named SA's with your firm, to enable him or her to work either on an ongoing, part-time or ad hoc basis. Many of our clients use us specifically for busy reporting periods and/or ad hoc notes that they don't have the capacity for.
Why use us?
If you can't justify having a full-time permanent supervisory analyst, but require your research to be distributed into the US, this is a proven cost-effective way to be able to continue to do this.