Research Compliance Accreditation – SGH Macro Advisors LLC

Accreditation Details
Research Firm SGH Macro Advisors LLC
Original Accreditation Date August 19, 2015
Latest Review Completed
December 29, 2016
Accreditation based on Compliance Best Practices for Macroeconomic and Policy Research Firms
Description of Firm’s research process and risks: SGH Macro Advisors LLC provides policy intelligence on macroeconomic and political events through its relationships with senior policymakers. The firm has global coverage through affiliates in Washington DC, Brussels, London, and Tokyo.

All research is disseminated to clients simultaneously; the firm does not perform bespoke research. The firm is not affiliated with investment banking, asset management or a consulting practice.

The firm proactively speaks with central bankers and other policy insiders for insights on policy trends which are published in the firm’s research and has low to moderate risk of receiving MNPI from sources.

Compliance controls include policies covering information control, supervisory review of research prior to release, training, analyst attestations, and gift/entertainment policies.

Based on our review of SGH Macro Advisors’ compliance practices, we believe its compliance controls to be consistent with industry best practices for macroeconomic and policy firms.  In achieving accreditation, SGH Macro Advisors has demonstrated that it follows each of the Key Compliance Controls as defined in the best practices for macroeconomic and policy firms, as well as a majority of the overall best practices for macroeconomic and policy firms.

Integrity Research Associates LLC
Best Practices Detail Best Practices for Macroeconomic and Policy Firms
Lead Analyst Sanford Bragg, Sanford.Bragg@integrity-research.com, 646.786.6855
Accreditation Process http://www.integrity-research.com/compliance-accreditations/
FAQ http://www.integrity-research.com/integrity-research-compliance-accreditation-faq/