The trust and protection of our clients and consultants is a top priority. We work with each client’s compliance framework while providing the necessary technology for compliance oversight and usage management. Our products adhere to rigorous compliance protocols that meet industry best practices.
DeMatteo Policies
DeMatteo employees are subject to the firm’s written supervisory procedures.
Expert Policies
Consultant Agreement
Prior to joining our network, experts must agree to our Consultant Agreement. By agreeing to this, experts are prohibited from disclosing any confidential and material non-public information.
Online Consultant Training Program
In addition to the Consultant Agreement, experts are also required to complete our Online Consultant Training Program. Our training program educates and informs the consultant on many pertinent topics, including but not limited to, material non-public information, confidential information, non-disclosure agreements, and conflicts of interest.
Written Research Policies
Our written research, which includes conference call and idea forum notes, are written by FINRA-licensed research analysts and subject to an internal compliance review process.
If you have any questions or want to learn more about our compliance protocols, please email compliance@dmllc.com.
*Please note: DeMatteo Research employs Adherence LLC, an outsourced expert in compliance and regulatory law to oversee and advise on DR’s compliance policies/ procedures.
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