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.