Compliance
Roadshow Regulation — We’re The Experts
- NetRoadshow held direct discussions with the SEC in 1997 to drive the initial SEC approval via a “no-action letter,” permitting digital roadshows for the first time.
- NetRoadshow has a total of five SEC no-action letters.
- We’ve built strong relationship with US SEC, UK FCA, Japan’s MOF, Hong Kong’s SFC and other global regulators and capital markets councils. This relationship provides firsthand expertise of policies related to digital roadshows and distribution of content related to capital offerings.
Compliance — Trusted Since ’97
- Trusted Partner: All NetRoadshow employees have passed thorough background checks to certify a clean record and affirm to our clients that we employ a team you can trust.
- Training: Routine internal training on appropriate handling of confidential materials, security awareness and incident reporting/ escalation procedures ensure continuous rigor.
- Processes: Robust internal compliance process with infrastructure allows clear segregation of service and corporate environment, including full audit trail of access records.
IT/ Security
Annual onsite audits by all leading banks certify NetRoadshow for:
Business Continuity Planning
We’re prepared for anything with multiple points of redundancy leveraging Amazon Web Services, 24/7/365 support and remote work contingency planning.
Third Party Security
All third party vendor relationships are vetted and reviewed regularly to ensure compliance to bank standards.
Enterprise Data Management
We have controls in place to ensure data privacy is managed in line with GDPR and other regional data privacy requirements.
SLA
Service level agreements are in place with all global and regional banks to ensure services meet the needs and expectations of clients.
SOC 2® Type 2 Certification
Sign an NDA to download the full report.
Platform
All NetRoadshow services are designed with significant and exacting input from the capital markets, legal and compliance teams within the leading global banks.
Specific controls include:
Registration
All investors must register before accessing content— know who’s viewing your content.
Sharing Controls
Copying, pasting and screenshots are disabled.
Custom Watermarking
Watermark includes investor email address, IP address and language to discourage redistribution & can be applied in a variety of formats.
Access Controls
Restrict access to a specified group of investors— control at the individual or domain level.
Custom Disclaimer
Define a deal-specific clickthrough disclaimer supported in multiple languages.
Time Gating
Restrict access to a specified time.