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 15 years. Our large Research Publishing team of Supervisory Analysts (SAs), Editors and Formatting and Publishing 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 Supervisory Analysts come from tier-1 sell-side firms; we understand the SA market in India
Our Editors have 10 years of editing experience, on average; most of them hold postgraduate degrees in English or Finance and have worked as journalists at reputed international news organisations or as editors at global financial services firms. Besides reviewing content for language, structure and logic, our editors understand regulatory issues, and are able to work on and iron out concerns with analysts and compliance. We, therefore, can also offer Senior Editors eligible to appear for the series-16 exam.
Our Formatting and Publishing Specialists have 12 years of experience, on average, in formatting and publishing reports and marketing material.
Who we serve
- Brokerages and Trading Firms
- Independent Research Firms
- Investment Banks
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
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