Guidepoint Global is committed to the highest legal and ethical standards in primary research. Robust compliance is core to our mission and the value we deliver to our clients.. This culture of compliance is instilled in all of our employees, and extends to you, the Advisor. Therefore, Guidepoint has prepared the following web-cast aimed to highlight your individual obligations and to indentify a professional standard of conduct when consulting with Guidepoint Global. Should you have any questions regarding this web-cast or involving your obligations, please email compliance@guidepointglobal.com.

Let’s begin with a discussion of maintaining professional standards and the accuracy of your biographical information. It is important to state accurately your qualifications. Our clients get a sense of your expertise and background by examining your qualifications prior to the consultation. We do not want anyone to over-promise and then underperform as a result of inaccurate or misrepresented qualifications. More importantly, you should not feel uncomfortable letting Guidepoint know that an assignment may be beyond your qualifications and professional knowledge. Clear and effective communication is very important. It is equally important to keep your profile updated and accurate, especially with regard to your current employment status. More on that in a minute.

Next, we want to draw your attention to Guidepoint’s Terms and Conditions, the cornerstone of our compliance system and a useful tool in identifying conflicts of interest which may occur prior to or during a client consultation. You will not be permitted to join the Network, or to participate in a consultation with a client, unless you affirm that you have read and agree to be bound by the Terms and Conditions. A copy of the Terms and Conditions is available on the Guidepoint Global website, and a link to them is contained in all email correspondence you receive from Guidepoint. To encourage your vigilance and care in complying with the Terms and Conditions, you may submit a payment request for any time allocated to any project that you choose to terminate for the purpose of complying with them.

The following are a few sections of the Terms and Conditions that we wish to highlight. This overview, however, is not a substitute for reviewing and understanding all of your obligations contained in the Terms and Conditions prior to participating in any project.

The concept of conflicts of interest is very important to understanding what can, or cannot be said on a call with a Guidepoint client. The definition of a conflict of interest is broad, and can include securities transactions, a conflict with a particular client and/or responsibilities, or obligations and duties owed to your current or even a former employer. You are therefore encouraged to review your employee manual, code of ethics, firm wide policies, and non-disclosure agreements to ensure you are permitted to consult through Guidepoint Global. In addition, by accepting each individual consultation request, you are acknowledging that you are not conflicted from consulting on the particular topic, or with a particular Guidepoint client. Moreover, even if a conflict doesn’t appear on the face of a request, it is possible that one could arise during the course of a consultation. If a conflict arises during the course of a consultation, you should immediately identify the conflict to the client and terminate the call. You should also notify the relevant Guidepoint employee of the conflict.

One way Guidepoint minimizes the possibility of an inadvertent breach of a conflict of interest is to enforce a bright-line rule with respect to consultations involving your current employer. Under no circumstances are you permitted to participate in a client consultation if the subject involves your current employer. This clear prohibition exists even if the consultation topic “shifts” to your employer during the consultation. In addition, if you were previously employed in the finance or accounting department of a company, you may not discuss that company until four months after your employment has ended.

In addition to conflicts of interest and employer-related restrictions, the potential dissemination of “Material Non-Public Information” is of great concern to Guidepoint Global. This material is generally defined as information that (1) its owner has taken reasonable measures to keep confidential, (2) derives significant economic value by typically affecting the stock price of a publicly traded company and 3) is information that is generally not known to, and is not readily assessable to the public. Under no circumstances are you allowed to disclose Material Non-Public Information to a Guidepoint client. In addition, if you come into possession of Material Non-Public Information through the course of consulting at Guidepoint Global, you are prohibited from acting on that information. Failure to follow these guidelines will result in your removal from our consulting network and may subject you to civil or criminal liability. Finally, a word about confidentiality.

Guidepoint and our clients maintain a strict standard of privacy and confidentiality when speaking about our business. Therefore, by agreeing to our Terms and Conditions, you acknowledge to accept the following things as confidential: the identity of Guidepoint’s clients, the various types of Guidepoint’s services, the nature of the questions that our clients ask, and your responses to client questions. The disclosure of any of the preceding information to any third party would violate your obligations under the Terms and Conditions.

If you have any questions about Guidepoint Global’s compliance policies and procedures, or any aspect of the Terms and Conditions, we invite you to contact us. We appreciate your time and effort today, and look forward to working with you in the future.