Research

The module Research includes the following functional scope:

  • Review of the research trade activities of the Research Division, which could rise to a conflict of interest.
  • Assistance to ensure that employees who are aware of their content and probable timing prior to publication of resarch analyses do not engage in financial instruments related to financial analysis or investment recommendations before the customer has had ample opportunity to respond.

  • Assistance to ensure that employees involved in the preparation of analyzes are unable,(or only in exceptional circumstances and with the prior consent of the Legal Department or the Compliance function) to engage in a counterclockwise employee trade over financial instruments to which the financial analyzes relate or related financial instruments or current recommendations.

  • Subsequent research comparisons.

  •  Automated connection of the Research Department.

  • Automated research clearances.
 
 
 
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