ComplianceAsia provides multiple solutions to research producers.

ComplianceAsia provides Research Rules Books setting out industry best practice procedures which are tailored to the needs of your organization. We have also assisted firms with implementing practical and efficient policies and procedures to deal with independence, conflict of interest, Chinese Wall and connected party research.

ComplianceAsia assists with identifying software solutions such as systems which provide automated checking of research against other databases including restricted lists, disclaimer databases, personal share dealing records and embargoed or distribution lists.

ComplianceAsia provides smaller or independent research producers with a review process which gives their clients confidence that the contents of research have been checked by professionals with considerable industry experience. The reviews include:

• Disclaimer checking
• Checks against the firm's personal share dealing records
• Checks against the firm's restricted list
• Checks for abuse of inside information
• Checks for compliance with distribution requirements in home and offshore markets
• Checks for compliance with regulatory disclosure requirements in home and offshore markets
• Checks for any need to suppress or delay publication

For asset management firms, ComplianceAsia will

• Pre-vet marketing materials and advertisements
• Submit marketing materials and advertisements for regulatory authorisation
• Assist with RFP responses
• Project manage achieving AIMR/GIPS Compliance