Compliance Framework
Baleen Research is an independent firm designed around a strict compliance framework. We built our compliance framework before we signed our first client or published our first report. We believe transparency about how we work is as important as the work itself.
Our Framework
Baleen Research has partnered with FiSolve to build and maintain a rigorous compliance infrastructure. Our framework includes:
✓A comprehensive policies and procedures manual
✓A Material Non-Public Information (MNPI) policy
✓Annual compliance training
✓An event and dinner preamble for in-person interactions
✓Pre-publication compliance review of every report by Steven Yadegari
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Compliance Partner: FiSolve
FiSolve provides compliance consulting and infrastructure to independent research providers and financial services firms. Learn more about FiSolve →
FiSolve provides compliance consulting and infrastructure to independent research providers and financial services firms. Learn more about FiSolve →
Important Disclosures
For our full legal disclaimer covering the scope of our reports, information sourcing, and limitations, please see our Important Disclosures.
Request Compliance Documents
Institutional readers and their compliance teams can request our full compliance documentation, including our policies and procedures manual and MNPI policy.
For compliance inquiries or to request documentation:
Request Documents →