IRC Securities offers strategic advice and guidance to research firms evaluating the optimal regulatory structure for overseeing the generation of research reports and research ideas for distribution. In addition to providing independent supervision to a firm’s process and procedures, IRC Securities also provides registration, licensing, continuing education, compliance meetings and training.
Registered analysts and personnel are under the full supervision of the compliance department. As registered representatives of IRC Securities, they must follow IRC Securities’ Written Supervisory Procedures. Notable compliance policies include (1) prohibition of insider trading or the facilitation thereof, (2) maintaining client confidentiality, (3) archival of electronic communications, and (4) appropriate use of electronic communications, amongst other compliance related policies.
Supervisory analysts, who are independent from the research production side, review all research from registered analysts prior to publication.
Compliance specific docs are available upon request: email@example.com