Integrity, ethical behavior and professional excellence are the core principles guiding our research process. These principles are built on explicit trust between Blue Heron and our clients. Our clients’ interests are our top priority. As such, unlike many independent research firms, we believe in research that is truly conflict-free.

Blue Heron maintains and administers a rigorous compliance policy that can be furnished upon request.

Highlights include how we:

  • Train our team about insider trading
  • Prevent the dissemination of material non-public information
  • Manage potential conflicts of interest
  • Treat sources
  • Maintain records
  • License research to our clients

Furthermore, we do not:

  • Manage money or trade securities
  • Publish investment recommendations
  • Syndicate exclusive client research
  • Make markets in securities