Compliance Policies
Our business is built on trust, transparency and sound ethics. These values are the backbone of our compliance program.
We work with many of the largest companies in the financial services industry. Protecting both our clients and Experts is a critical part of our job.
We provide our clients with the tools and technology they need to oversee and manage their usage. We set the bar for industry best practices.
Expert Policies
COMPLIANCE TRAINING
During the registration process, each Expert must complete our compliance training that covers securities laws, confidentiality laws and our policies. In order to be eligible to consult with our clients, they must completed the compliance training within the past rolling 12-month period and certify that they have read and understand its contents.
PROJECT ELIGIBILITY ASSESSMENT
For every project, VISASQ/COLEMAN screens potential candidates to assess their eligibility and any potential conflicts of interest. For example, Experts are prohibited from consulting about their current employer or other third parties to whom they owe confidentiality obligations.
We also restrict specific industries and classes of Experts as appropriate.
TERMS & CONDITIONS
Before their first consultation, experts must agree to abide by VISASQ/COLEMAN’s Terms & Conditions, which prohibit the disclosure of confidential and material, non-public information. To be eligible to participate in a consultation, they must have agreed to our Terms & Conditions within the last rolling 12-month period, and they are also required to provide current employment information.
Coleman Policies
RESTRICTED COMPANIES DATABASE
VISASQ/COLEMAN maintains a database of company policies that affect their employees’ eligibility to participate in Expert consultations. This information is fully integrated into our proprietary technology platform.
INTERNAL LEGAL DEPARTMENT
VISASQ/COLEMAN has an internal legal department that works directly with the compliance team. Shaped by years of industry experience, they help assess applicable risks and regulations, monitor, and enforce our controls, and provide ongoing training to the larger organization.
EMPLOYEE COMPLIANCE POLICIES
All VISASQ/COLEMAN employees sign confidentiality agreements and are required to abide by our internal policies. These policies require all employees to have trading transactions on covered securities pre-approved by our compliance department.
FEEDBACK & REVIEW
After each consultation, Experts and clients have an opportunity to provide feedback directly to their VISASQ/COLEMAN representative.
Compliance Technology
COMPLIANCE PLATFORM
Our custom-built compliance platform is fully integrated with our proprietary workflow software to gather and maintain Expert permissions and eligibility.
CLIENT OVERSIGHT
Compliance officers can access our client site to view and manage upcoming consultation sessions for their firm.
CUSTOMIZABLE RULES
Clients can customize their account’s compliance settings to exclude specific categories of Experts and increase their usage oversight.