Compliance

Compliance without compromise.

Trust is the foundation of every expert interaction. Our framework meets the highest global standards while incorporating Korean securities law, personal information protection, and corporate disclosure regulations.

Four Pillars

Our compliance framework

Every engagement at Nathan Research Group passes through four systematic safeguards. Click any pillar below to see the specific protocols we enforce.

  • All experts are screened for potential MNPI risks before every engagement.
  • Real-time monitoring of expert affiliations against client-restricted lists.
  • Mandatory expert attestation confirming no MNPI will be disclosed.
  • Ongoing training for all experts on MNPI obligations under Korean and international securities regulations.

  • Systematic screening of expert-client relationships to identify potential conflicts.
  • Restricted period enforcement for experts with recent insider affiliations.
  • Independent review process for high-sensitivity engagements.
  • Full audit trail maintained for every interaction.

  • Full compliance with Korea’s Personal Information Protection Act (PIPA) and international data protection standards.
  • Encrypted communication and secure data storage.
  • Strict data minimization and retention policies.
  • Regular third-party security assessments.

  • Identity verification for all network members.
  • Professional background and credential validation.
  • Compliance training completion required before first engagement.
  • Annual re-certification for active experts.
  • Employment and affiliation status monitoring.

Note: The policies summarized here are a high-level overview of our compliance framework. For the full legal text, sector-specific protocols, or bespoke compliance arrangements for your firm, please contact our compliance team (compliance@nathanrg.com).