Compliance that sets the standard.
Comprehensive policies. Customizable controls. A commitment to integrity that’s central to everything we do.
Compliance as industry-leading as our Advisors.
Guidepoint’s compliance framework combines clearly defined standards with flexible controls, enabling clients to apply oversight in a manner that aligns with their internal policies and regulatory obligations, including the ability to monitor and oversee interactions through expert pre-approval, chaperoned consultations, and periodic usage reporting
Advisor eligibility.
Before any consultation takes place, Guidepoint applies Advisor eligibility rules, verification steps, and data-backed controls to reduce risk and protect sensitive information.
Guidepoint applies conservative Key Rules to which every Advisor must agree before a consultation takes place. These rules directly address sensitive subjects, including clinical trials, employers, and competitors.
All Advisors must complete our interactive Advisor Compliance Tutorial, which requires them to apply Guidepoint’s rules to different fact patterns. Prior to each consultation, Advisors must represent that they have reviewed the tutorial within the previous 12 months.
The principles stated in Guidepoint’s Code of Conduct apply to all aspects of our business. All Advisors, employees, and business partners are required to conduct business in an ethical and honest manner and in compliance with all applicable laws and regulations.
Guidepoint conducts background checks through a global risk intelligence service on all new Advisors who complete a consultation, as well as on a random sampling of current Advisors each year. These checks include criminal history searches in the United States and applicable foreign jurisdictions, reviews of U.S. FDA debarment actions, and screening against the GSA’s Excluded Parties List System, among other measures.
Guidepoint does not accept as Advisors the employees of companies or their subsidiaries that prohibit employee participation. All such prohibitions are recorded in the Guidepoint Employer Database Registry, which is automated into Guidepoint’s IT platform to prevent restricted employees from participating in Guidepoint’s services.
Guidepoint uses a third-party corporate information service that feeds data, including company affiliations, into our IT platform to support the application of compliance restrictions.
Project compliance.
Each project is reviewed against Guidepoint rules and client-specific requirements, with controls applied before work moves forward. Project-level compliance controls are applied before, during, and after each engagement.
At the start of each project, a Project Manager reviews the Project Request to determine whether the experts and information sought comply with Guidepoint’s policies and procedures. They may request additional information and engage our Legal and Compliance Departments as needed.
Clients may request additional custom controls, including tailored compliance screening questions, required Advisor affirmations, or client approval of selected experts.
Advisors must affirm in advance of each project that they will conduct the consultation in conformity with the Terms and Conditions and that they will not provide any Confidential or Material Non-Public Information during the course of the consultation.
Guidepoint’s proprietary IT platform prevents projects from advancing until all required compliance screens are completed and any necessary client approvals are obtained.
Advisors must affirm in advance of each project that they will conduct the consultation in conformity with the Terms and Conditions and that they will not provide any Confidential or Material Non-Public Information during the course of the consultation.
Project review.
Guidepoint applies systematic project review processes to identify, investigate, and address potential compliance issues. These reviews add an additional layer of oversight during and after engagements.
A team of dedicated compliance professionals review projects at multiple stages to identify issues requiring further examination. Where appropriate, additional inquiry is conducted. Advisors who violate Guidepoint’s Terms & Conditions are removed from our network.
Guidepoint’s proprietary IT platform enables review of projects at all stages and provides a complete audit trail of requests and consultations.
Our client portal enables compliance personnel to monitor usage and project details in real-time and download usage information as required.
For specific questions, contact our compliance professionals.
Our team can help clarify requirements, documentation, or project-specific considerations.
