A word about compliance
Noble Insight's compliance policies abide by SEC and industry standards. We have also retained Dechert LLP, an international law firm to advise us on compliance policies and for guidance on future regulatory changes impacting the industry. Dechert is a leading authority within the financial services and asset management space.
Our internal team reviews all projects to ensure that there are no potential compliance issues and all employees go through compliance training before they are allowed to execute a project. An expert in our network cannot consult with clients until they agree to abide to our terms and conditions which explain our detailed compliance policies.
We also work with our client’s in-house compliance team to ensure that we adhere to their customized compliance needs. This may include the signing off on all experts given to a client or excluding certain types of experts from consulting with your firm.
We have the resources and systems in place to allow for any additional compliance measures our clients deem necessary. An overview of some of our basic compliance policies consists of:
Experts are forbidden from disclosing material, nonpublic information about a company including trade secrets
Experts may not discuss any information that is their duty to keep confidential
Experts are not registered investment advisors and may not provide advice concerning the value of a security or the advisability of investing in, purchasing, or selling that security
Experts agree not to consult with a firm that may be a direct competitor of the firm in which they are currently employed
Experts are forbidden from discussing information about a company for which the expert is currently employed or for which the expert advises
Our employees must go through rigorous training to fully understand industry compliance policies before they are involved on any consultations
Experts cannot give legal/medical advice or establish an attorney/client relationship in connection with a project
Experts cannot consult on any legislative or regulatory matter that they are in a position to vote upon
Experts cannot discuss clinical trial results or patient experience until that information is made public
Experts cannot consult on any companies that they may have audited within the past 5 years
Experts may not discuss any financial or accounting information regarding a company where they have previously worked at within 12 months of leaving
Experts agree not to discuss any other information regarding a company where they have previously worked at within 6 months of leaving
Experts who work at public companies must receive necessary approval if needed before they can consult with our clients (may vary depending on client)
Experts must review all employment agreements to ensure that their company does not have policies in place that would prohibit them from doing any outside consulting
If an expert is an officer, director, or employee of a company that is (a) the subject of a tender offer or (b) making a tender offer for the securities of another entity, they cannot participate in any project until the tender offer is resolved
If an expert determines at any time that their participation in a project could result in a violation of any terms and conditions or may present a conflict of interest they must immediately terminate their participation in such projects and notify Noble Insights