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Investor protection principles

Sidoti & Company, LLC has adopted principles to address, mitigate or eliminate conflicts of interest and to prevent any influence by Investment Banking on research analysts. Sidoti & Company, LLC also has adopted and implements principles to maintain separation between the Investment Banking and Research Departments. In adopting these principles, Sidoti announces:

  • There is no direct link between compensation for analysts and investment banking services or trading revenues and analysts are not compensated for a specific investment banking services transaction or trading revenues;
     
  • Investment banking has no input into analyst compensation;
     
  • A committee approves all recommendations;
     
  • Discontinuation of coverage is disclosed as well as the rationale for such termination;
     
  • Research reports disclose whether the firm has received or is entitled to receive compensation from a covered company over the past 12 months; and
     
  • This process is monitored to ensure compliance with the principles.
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