Compliance
Our commitment to regulatory adherence and ethical standards.
Effective Date: 1/2/2023 | Last Updated: 1/2/2023
Data Protection and Privacy Compliance
Bridgeway Analysts is committed to handling all personal and business information in accordance with applicable data protection and privacy regulations. We comply with the General Data Protection Regulation (GDPR) within the European Union, the California Consumer Privacy Act (CCPA) in the United States, and other relevant laws in jurisdictions where we operate. We implement strict internal policies, technical safeguards, and organizational measures to ensure that personal data is collected, processed, and stored lawfully, fairly, and transparently. All individuals whose information may be collected during research activities retain their rights as granted under applicable data protection frameworks, including rights of access, correction, restriction, objection, and deletion.
Financial Regulation Compliance
As an analytical research firm, we provide independent insights and market analysis but do not operate as a licensed broker, dealer, financial advisor, or investment manager. Our services are not intended to meet regulatory reporting requirements or to substitute for statutory disclosures mandated by financial authorities. We adhere to professional standards of accuracy and integrity in presenting research, but we do not provide recommendations that amount to investment advice or regulatory filings. Clients are reminded that they remain solely responsible for compliance with financial regulations, disclosure obligations, and any licensing requirements applicable in their respective jurisdictions.
Ethical Standards and Professional Conduct
We align our practices with industry standards of ethical research and professional conduct. This includes avoiding conflicts of interest, maintaining confidentiality of sensitive client information, and ensuring that our research methodologies are transparent, unbiased, and appropriately documented. We reserve the right to refuse projects that conflict with our compliance obligations or ethical principles, particularly those that may involve misuse of confidential data or breach of applicable financial regulations.
Cross-Border Compliance
Given the global nature of financial markets, many of our clients operate across multiple jurisdictions with differing legal, regulatory, and compliance requirements. While we take care to present information in a manner consistent with international standards, our research is not tailored to the specific compliance requirements of any single country or region. Clients are responsible for ensuring that the use of our insights, data, and publications aligns with the applicable laws and regulatory frameworks of each jurisdiction in which they operate. This includes, without limitation, compliance with cross-border securities regulations, data transfer restrictions, and market conduct rules. We strongly recommend that clients seek jurisdiction-specific legal and compliance guidance when relying on our work in cross-border or multinational contexts.
Client Responsibilities
Clients and end-users of our reports, publications, and data are responsible for ensuring that their use of our materials complies with applicable laws, regulations, and internal governance policies. This includes but is not limited to data protection obligations, financial market regulations, securities laws, and investment restrictions. We disclaim liability for any compliance failures or regulatory breaches resulting from reliance on our research. Clients are strongly encouraged to seek independent legal, financial, and compliance advice before making business or investment decisions based on our insights.