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Jovus Inc.

Web-based, database-driven financial research software, fully integrated with Microsoft Word and Excel.

Compliance

Jovus software allows you to meet all of the FINRA, NYSE, and IDA research regulations, and is configurable to meet any additional international requirements. It also gives you the tools and information you need to breeze through an audit. All regulatory disclosures are automatically inserted into each research report, assuring full compliance for each and every published document.

Specifically, Jovus provides your firm with the following critical compliance-related features:

Compliance Database

  • Jovus includes a compliance database to store all research-related compliance information, including but not limited to:
    • Security ownership
    • 1% ownership rule
    • Market making
    • Prior investment banking relationships
    • Potential investment banking relationships
    • Officer, director, and advisor relationships
    • Distribution of research ratings
    • Distribution of investment banking relationships
    • Research definitions

Research Regulatory Disclosures

  • RESEARCH DISCLOSURE COMPLETENESS: Assurance that ALL required research disclosures are present in all of your research products.
  • AUTOMATED RESEARCH DISCLOSURE INSERTION: Research disclosures are automatically inserted into every document for any covered company mentioned therein.
  • RESEARCH DISCLOSURE TIMELINESS & ACCURACY: Research disclosures can be updated at the push of a button at any time prior to publication to guarantee up-to-the-second disclosure accuracy.
  • AUTOMATED PRICE CHART GENERATION AND INSERTION: FINRA-mandated compliance price charts are automatically generated and inserted into every document, saving you time and resources.
  • EASE OF DISCLOSURE LANGUAGE MODIFICATION: Research templates are always up-to-date, with the most recent disclosures language. If your firm changes any disclosure language, it is automatically reflected in your research reports.

Regulation AC Compliance

  • AUTOMATED ANALYST CERTIFICATION & ARCHIVE: Jovus permits analysts to attest to Regulation AC every time they submit a research report, with a single click of our Certification button. Each certification is stored digitally in the database in the event of an audit.
  • ANALYST CERTIFICATION STATEMENT: Jovus automatically inserts into each research report an Analyst Certification Statement, and auto-populates the analyst(s) name(s).

Compliance Workflow Control

  • WORKFLOW ROUTING: Jovus routes all documents through a set of approvals that you can define.
  • SERIES 16/23 CONTROL: Jovus ensures that research reports cannot be published without prior review by a licensed Supervisory Analyst. You'll never have to worry again about a report mistakenly circumventing a Supervisory Analyst.
  • SERIES 86/87 LICENSE CONTROL: Safeguards to ensure that only authors with their Series 86/87 license are able to submit research reports.
  • COMPLIANCE WORKFLOW AUDIT REPORTS: Records of your compliance edits and approvals are automatically logged and archived. In the event of an internal or external audit or review, Jovus allows you to specify search criteria to return any range of documents you need.
  • COMPLIANCE DOCUMENT HISTORY: Upon firm request, Jovus can store copies of research reports every time they are entered into the system, permitting you to see changes to each report by various users.