Compliance policies and procedures have always been an important part of our business. The design of our compliance program has been shaped by our experiences, industry-best practices, and independent legal counsel and are an integral part of Knowledge Broker™ - our real-time, web-based extranet designed to enable our staff and users to streamline the research process involved in locating and managing industry experts while facilitating compliance oversight. CRG staff, clients and Executive Forum Members who use Knowledge Broker™ must adhere to its built-in workflows.

We recognize that prospective and current Executive Forum Members may have legal obligations relating to consultations with our clients. As a result, our compliance program was created to enable our clients and Executive Forum Members to respect any such obligations. For example, our compliance program stresses:

• EFMs and clients discuss only those matters that do not present a conflict of interest for the Executive Forum Member.
• EFMs and clients refrain from discussing the company at which the Executive Forum Member works or any issues that may violate any agreements the Executive Forum Member may have.
• Executive Forum Members should not disclose, and clients should not solicit, material, non-public information.
• Every time a consultation is scheduled our Clients and our Executive Forum Members are reminded to honor these obligations.

• Agree to our Terms and Conditions.
• Verify that they are not prohibited by any relationship from consulting with institutional investors regarding the proposed subject matter.
• If there is a conflict of interest or potential conflict of interest, they must immediately notify Coleman Research Group, Inc.