Guidepoint Global Compliance Overview
Compliance is at the heart of Guidepoint Global’s services.
We see it as a partnership among Clients, Advisors and Guidepoint, in which each bears important responsibilities on which the others depend. We define those responsibilities clearly, enforce policies and procedures to facilitate successful and appropriate interactions, and support our Clients’ internal compliance programs.
Our approach begins with clear, conservative ground rules. These ground rules are supported and enforced by layers of overlapping compliance screens. We have designed these screens to involve multiple Guidepoint personnel from different departments, and include a review of a variety of data drawn from independent sources, throughout each project lifecycle and over the course of each Client engagement.
In addition, we realize that each Client is unique in its organization, practices and preferences. Consequently, each Client's internal compliance program is different. Through customized Client protocols and our dynamic Client IT platform, Guidepoint provides vital tools and information to enable our Clients to implement their programs successfully.
This overview outlines our approach and some of the specific safeguards that we use to police compliance. It is by no means exhaustive, but is meant to illustrate our methodology and capabilities.
It is helpful to think of our approach in three parts (click to review):