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.
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So do we.
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Chase is committed to maintaining, conducting,
and promoting the highest ethical and legal
business practices.
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“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
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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.
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• We have an active compliance program in line with SIFMA’s Compliance
and Legal Society, and maintain effective information barriers.
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• We review all policies and procedures at least annually.
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• We require all Chase team members at every level participate in regular legal education forums.
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We employ a multi-layered, comprehensive compliance platform
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Layer one: Internal compliance processes we follow at your direction.
Layer two: Chase compliance check.
Layer three: A proprietary, custom consultant contract process
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We overlay your firm-specific protocol
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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.
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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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