Arapaho Research Partners
Arapaho Research Partners has the highest Compliance standards in the industry.  We follow highly documented and controlled practices and procedures as constructed by our legal counsel.   These industry best-practices are well-defined and clearly delineate a rules-based Compliance framework.  These include, but are not limited to:

  • Proprietary Terms and Conditions for participation, by advisors and clients
  • Required disclosures of confidentiality obligations and conflicts from advisors
  • Required permissions from advisors
  • Systematic reminders of compliance obligations for advisors and clients
  • Advisor compliance training
  • Electronic and telephonic vetting of advisors to preclude potential conflicts
  • Strict limitations on employees of public companies
  • Limitations on number of particular advisor consultations
  • Maintenance of company registry
  • Employee limitations on trading in securities
  • Complete independence:  we do not manage money or perform investment banking functions