Compliance framework
Compliance Runs Parallel to
Everything We Do and Build.
We see our compliance program as a set of values, not a checklist. Our team strives to deliver the best product in the industry, and to win the right way, every day.
Embedded at every layer.
Compliance is embedded in every aspect of the Channel Dynamics platform, running in parallel to research, data production, and bespoke engagements. All content is developed, reviewed, and distributed within a structured process built to meet institutional standards, with a commitment to ongoing improvement.
Similar to other areas of our business, we have leveraged compliance context files that help better leverage AI tools to reduce MNPI and privacy risk inherent in our research.
Expert engagement runs through The Network Effect (TNE), our affiliated expert network and vendor, where MNPI protocols, conflict-of-interest screening, and engagement recording are standard on every interaction.
Five areas of focus.
Primary research controls
All expert interactions are conducted under defined protocols, including pre-call disclosures and clear guidelines on permissible information.
Content review
Analyst notes, transcripts, and research outputs are reviewed prior to distribution, confirming that no material non-public information is present and that all published content aligns with internal policies.
Separation of workflows
Clear separation is maintained between syndicated research, bespoke engagements, and data outputs.
Training & ethics
Employees complete thorough compliance training and are subject to personal trading restrictions that protect the integrity of our research and our clients.
Ongoing oversight
Compliance processes are continuously monitored and refined to align with evolving regulatory expectations.
Regulatory alignment
Our compliance framework is informed by the expectations of institutional investors and applicable regulatory environments.
Detailed policies on request
Additional detail on compliance processes and policies is available upon request for prospective and current clients.
Request documentationThe moat is being trustable.
Your legal and compliance teams are welcome to review our framework before you subscribe. We'd expect nothing less.
Talk to our compliance team