Rigorous compliance is the cornerstone of our service. However, successful compliance cannot be accomplished within Guidepoint alone; it is the effective combination of Guidepoint’s compliance capabilities with each Client’s internal program that achieves the security we all require.
Guidepoint employs a variety of internal tools to manage project compliance and Advisor compliance, including: conservative rules, Advisor training and education, background checks, the Employer Registry, project manager screening, compliance reaffirmations, and compliance department auditing.
We recognize that each Client has a unique compliance program. Combining Guidepoint’s compliance with Clients’ programs requires flexibility and cooperation. Consequently, Guidepoint provides a variety of highly-customizable tools and real-time data to support Client’s management of their own compliance programs.
Customized Client Protocol Examples
Clients have requested a wide array of customized compliance solutions. Here are just a few examples:
The Client’s Chief Compliance Officer or General Counsel must pre-approve certain consultations before Advisor contact information may be forwarded to the Client user. Guidepoint can automate these approvals through its IT platform to enable Client compliance officers to approve real-time.
Some Clients have chosen to add categorical restrictions in addition to the compliance policies Guidepoint applies. Guidepoint’s IT platform utilizes Advisor employment history and up-to-date public/private company information from a global corporate information service vendor to apply these restrictions.
Clients have asked that potential Advisors make certain affirmations or answer screening questions before they can be added to the Client’s project. These affirmations and/or queries are programmed into Guidepoint’s IT platform so that Advisors must complete them to be eligible for a project. Responses are digitally archived and can be provided to Clients upon request.
Customized Language in Project Emails to Advisors
At Clients’ request, Guidepoint has added additional compliance language to all emails soliciting Advisors for those Clients’ projects. Guidepoint can program the language into a Client’s communications template so that all such emails automatically contain the requested language.
Real-Time Project Data and Compliance Tracking
Clients have real-time access to a rich array of compliance and usage data through Guidepoint Global’s Client Portal. Through a secure Internet connection, Client users and compliance personnel can review open project requests, lists of solicited Advisors, Advisor biographies, scheduled calls, and other project details. Compliance officers can provide project approvals, under customized protocols and can run historical usage reports of past projects. The Client’s online archives contain prior surveys, Quick Polls, and meeting invitations, for easy access. Client users also have the ability to organize their research history and resources online, facilitating follow-up work.
Contact Guidepoint’s Compliance Department to discuss how we can support your company’s compliance program.