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Compliance

  • Driving Greater Transparency
  • Investment Community – Briefing Note

Expert Network – Compliance

Askvisory’s compliance engine and approach is game-changing – keep conversations transparent and give recognition to the experts


Traditionally, Expert Networks do not disclose their experts and conversations (up until the SEC audits them).  What if everything was made transparent to benefit all parties?

Askvisory’s Expert Network services enable clients and experts to be securely protected at all stages of the consultation. At the core of our compliance engine and patent pending technology is the fundamental game-changing approach of making all consultations transparent.  By making consultation topics transparent, it prevents clients from going beyond acceptable boundaries.

Askvisory compliance engine is based on 5 pillars:

Expert Network Compliance Engine


What is kept private from the wider public:

  • Client Name
  • Client Telephone Numbers
  • Client Payment details
  • Client conversation within the telephone call (only the topic title will be posted within the Panel)

What is revealed publicly:

  • Consultation Topic Title & Questions
  • Advisor Name / Alias
  • Date & Time  of Consultation

Why:

Advisors gain industry wide recognition, whilst clients are able to get additional value through the wider Expert community commenting on the call topic.  This innovative way to create  information value, creates a win-win for all parties.


Investment Community – Briefing Note

Askvisory is committed to ensuring that the quality, effectiveness and transparency of the compliance standards of its Panel members. As expert networks are an unregulated business on both sides of the Atlantic (in terms of not being subject to financial service regulatory oversight), investors must rely on the companies themselves to “self-regulate” – to implement and enforce appropriate compliance standards.

However rigorous the compliance procedures of any expert network, it is prudent that the investor community follows suit with its own appropriate compliance procedures and due diligence. It is also important for investors to remember that while insider dealing or market abuse is a key investment risk, there are additional risks connected with conflicts of interests, breach of confidentiality and breach of contractual obligations.

Askvisory has undertaken several measures to go beyond the basic compliance and regulatory requirements:

  • Askvisory maintains communication with all clients and experts to ensure compliance is a key part of our process e.g. At the start of every call, clients and experts are reminded of compliance requirements
  • Because certain companies restrict their employees from participating in outside consulting engagements, Askvisory maintains a “Do Not Contact” database of companies. To update us on your company’s external consulting policy, please contact us on admin@askvisory.com
  • Askvisory keeps detailed records of its compliance processes and is able to provide its Clients with routine compliance reports on consultations that have taken place
  • Askvisory believes in providing both its clients and the Panel of Experts with as much information related to a project request (client name, specialist name, discussion topic and scope, timeline, etc) as possible before a consultation takes place

Every measure will be taken by Askvisory to ensure that clients, organisations and experts are protected.