Every engagement follows a written framework built for investment firms' compliance review.
Information standard. All views are based on public information and professional experience. No material nonpublic information is provided, sought or accepted, and no confidential information from any current or former employer is disclosed.
Attestation. The analyst signs a written attestation before every session.
Record. Sessions are held on Zoom, recorded and transcribed with the consent of all participants, and the transcript is delivered to the client.
Conflicts. A restricted list is maintained and checked before each engagement. Relevant relationships are disclosed in advance.
Not investment advice. Engagements provide industry and technology analysis only, with no recommendation to buy, sell or hold any security.
Onboarding. Standard agreements, W-9 and vendor documents are available on request.
