Integrity ResearchCompliance

Even the most diligent asset managers rely on the representations made by external research providers about their compliance policies. Very few have the resources to test whether external research providers actually put their policies into practice.

Integrity Research has been conducting due diligence on independent research providers since 2003 and compiling compliance best practices since 2008. With a decade of due diligence experience, Integrity’s staff has a deep understanding of research compliance best practices.  We conduct compliance due diligence audits on behalf of asset managers, research distributors and potential business partners of research firms.

We have partnered with a veteran FinTech firm, Castine Consulting, to offer an innovative due diligence platform used by over 250 research firms to assist in distributing compliance due diligence information to clients and prospects. To learn more about the Castine Compliance Telescope platform, click here.

Integrity ResearchCompliance Accreditations affirm that a research firm’s compliance controls comply with industry best practices. To receive accreditation, research firms undergo due diligence to demonstrate that they not only have appropriate compliance policies, but also that policies are understood and practiced. To learn more about Integrity ResearchCompliance Accreditations click here.

For more information, please contact:
Tel: 212-845-9088
Fax: 212-845-9091