COMPLIANCE PRACTICES
The CRG Global Compliance Program is built upon three pillars that regulate the usage of our expert network platform for buy-side financial institutions: Participation; Expert CRG Policies; and Compliance Technology. Our rigorous compliance procedures are shaped by securities laws and regulations, industry best practices, and independent legal counsel, and supported by our experienced internal compliance team and our KnowledgeBroker® expert network technology. Working within a robust compliance framework, CRG makes the right match.
Expert Participation
- Recruiting & Vetting Procedures
CRG discusses confidentiality requirements and potential
sources of confidentiality obligations with experts during
initial recruitment into our network.
- Registration in our Network
Experts registering with our network agree to CRG's Terms
& Conditions, which prohibit the disclosure of confidential
information.
- Compliance Training
During the registration process, each expert participates in
training on compliance, CRG policies, and confidential
information.
- Project Eligibility Assessment
For every project, CRG vets potential candidates to assess
eligibility and any potential conflicts of interest. Experts
can decline participation for any reason.
- Reminders of Terms & Conditions
During the consulting process, the expert is reminded of
the obligations contained in our Terms and Conditions. To
be eligible to participate in a consultation, the expert must
have agreed to T&Cs in the last 90 days. Experts are also
required to review their employment information and
update when appropriate.
CRG Policies
- Corporate Database
CRG maintains a database of company policies affecting
their employees' eligibility to participate. This information
is fully integrated in our KnowledgeBroker® technology.
- Rules for Expert Participation
Experts are prohibited from consulting about their current
employer or about other third parties to whom they
owe confidentiality obligations. CRG imposes other restrictions
upon specific industries and classes of professionals
as appropriate.
- Feedback and Review
After each consultation, experts and clients have an opportunity
to provide feedback directly to CRG.
- Dedicated Compliance Team
CRG's dedicated internal compliance team provides
oversight to our compliance policies and procedures.
- CRG Employee Policies
All CRG employees sign confidentiality agreements and
are required to have their trading transactions pre-approved
by CRG compliance.
Compliance Technology
- Compliance Management System
KB ControlCenterTM is our compliance management system
built within KnowledgeBroker© to track and maintain
expert permissions and eligibility.
- Access to Client Web Interface
Compliance Officers can access the KB ControlCenterTM
web interface to view and manage upcoming consultation
sessions for their firm.
- Client Customizable Rules
KB ControlCenterTM can be customized according to individual
client preferences to exclude specific categories of
experts from consulting and to facilitate client oversight.
- Integrated Corporate Data
CRG uses corporate data licensed from an independent-third party in
its KnowledgeBroker® technology.
Corporate Database
We recognize that prospective and current Executive Forum Members may have obligations relating to consultations with our clients. As a result, we have developed the CRG Corporate Database. This is an application through which employers can outline how their employees or representatives interact with CRG's global client base.
Employers click here to register company >
Terms and Conditions
Review our
Terms and Conditions >
Contact US
To learn more about our Global Compliance Program, please
contact us >