Investor Protection Principles
Tribal Capital Markets, LLC has adopted the following principles to eliminate the potential conflicts of interest that may arise out of a relationship between our Investment Banking and Research Departments. They are as follows:
- There is no direct link between compensation for analysts and investment banking.
- TCM Analysts are not compensated for a specific investment banking services transaction.
- Investment banking has no input into analyst compensation.
- 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.
- This process is monitored to ensure compliance with these principles.