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Understanding Compliance


You value fundamental primary research

and your integrity means everything.

That's why your firm abides

by the industry's best compliance practices.

So do we.

Chase is committed to maintaining, conducting,

and promoting the highest ethical and legal

business practices.

“Expert networks have approached me to do investor consulting but I’ve never been interested.

With Chase, it’s different. They are lawyers. I feel much more comfortable with that.”
– Chase Consultant

At the core of our Research Team is a seasoned group of attorneys. Chase understands compliance is critical and believes the best protection for our business and yours is a law-abiding culture.

• We have an active compliance program in line with SIFMA’s Compliance

and Legal Society, and maintain effective information barriers.

• We review all policies and procedures at least annually.

• We require all Chase team members at every level participate in regular legal education forums. 

We employ a multi-layered, comprehensive compliance platform

Layer one: Internal compliance processes we follow at your direction.

Layer two: Chase compliance check.

Layer three: A proprietary, custom consultant contract process

We overlay your firm-specific protocol

Bespoke Compliance: Chase offers a truly bespoke and client-specific curated experience so that your firm's specific

compliance protocol is incorporated into our own.   

Bespoke Reporting: We offer easy access to reports and status updates so your in-house and outsourced compliance

review teams have access to all project activities. 

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