Supervisory Analyst Review Services
Supervisory Analyst (SA; series-16 qualified) review and approval has become a bottleneck for timely publication of reports and an area where costs have increased as experienced SAs have become difficult to hire and retain. In an environment where time-to-market is key, a resource needs to be available to review and process reports as and when analysts submit them. At Acuity Knowledge Partners, we provide SA services to sell-side firms. We offer several support models, including full-time and part-time support, depending on client requirements, in an effort to provide flexible yet reliable services at reasonable costs.
We, at Acuity Knowledge Partners, have been working with financial content for over 20 years. Our large Research Publishing team of SAs, editors and formatting & publishing, and design specialists can review, approve, and publish your reports, meeting tough deadlines in a fast-paced work environment and amid a heavy flow of content.
Given our team size and experience, we are able to staff an engagement fairly quickly, need very little hand-holding, and can hit the ground running on most projects.
Our SAs come from tier-1 sell-side firms; we understand the SA market in India.
We also offer senior editors eligible to appear for the series-16 exam. These editors already carry out pre-SA work and can sit for the exam within three months of joining the client.
Who we serve
-
Brokerages and Trading Firms
-
Independent Research Firms
-
Investment Banks
-
Sell-side research teams
Supervisory Analyst - Support We offer
Content review
Ensure compliance with firm's guidelines and regulatory requirements
Ensure recommendations are substantiated by relevant data and rationales are logical, realistic and include an assessment of risks
Assess the accuracy of data
Ensure rating conformity with the firm’s rating system
Compliance review
Make a list of material mentions (stocks with an investment view) in the research report
Review the list against Restricted lists and the client’s internal restrictions
Coordinate compliance approval for restricted mentions (with Compliance and the analyst)
Add additional disclosures, if required
Disclosure review
Ensure prominence of disclosures and proper separation of disclosures and other disclaimers Ensure inclusion of relevant disclosures
Ensure inclusion of relevant disclosures
SA Support models
Pre Supervisory Analyst Support: Senior editors, in the course of an editorial review, escalate and resolve regulatory issues with the analyst. This significantly reduces the turnaround time for SA approval and increases productivity
Supervisory Analyst Support from India: Senior (with over 5 years of S-16 approval experience) or Associate (over 2 years) level SAs
Supervisory Analyst Support from Europe: Senior/Associate SAs
Senior editors for the SA exam: Senior editors who can sit for the S-16 exam (to be sponsored by the client), offering a significant cost advantage versus hiring qualified SAs
Direct hiring from the UK and the US
Part-time support
We provide tailor-made solutions, depending on the client’s requirements
What we have delivered to Supervisory Analyst Review function
25+
Client engagements and publishing teams supported, contributing to our best practices
20+
Years of deep domain knowledge
30-40%
Cost savings achieved
24x5
Support round- the-clock editing, formatting and publishing support
How we are different

RESEARCH PEDIGREE

NEARSHORE CAPABILITIES

PROCESS OPTIMISATION

TECHNOLOGY

SCALABILITY
Platform Expertise
We are adept at using various research production/publishing platforms, compliance and content management platforms and software to enhance our Supervisory Analyst Review support
In the News

Boosting impact investment for insurers in MENA
Read More
Lower volatility dents global banks’ FICC business in Q1
Read More