Advisor Compliance Overview
As an Advisor, Guidepoint's compliance both safeguards you and depends on you. Our policies and procedures are designed to clarify what is and is not appropriate to discuss with Clients, and to help you engage in only those suitable consultations with which you are comfortable. However, they can only be effective if you provide us with accurate and up-to-date information concerning potential conflicts.
To assist Advisors in understanding and following Guidepoint Global Advisors' compliance practices we employ clear rules, provide explanation and support, and require Advisor profile information to be accurate and up-to-date.
Clear Rules
In our Terms & Conditions and compliance policies, we have created conservative ground rules to which every Advisor must agree before they can consult with our Clients. These ground rules are often considerably stricter than the law requires and draw bright-line distinctions in areas of particular sensitivity. For example, while the law may permit an employee to convey information about his or her employer that is already publicly-disseminated, Guidepoint flatly prohibits an Advisor from discussing his or her employer on a Guidepoint consultation, regardless of whether the information is public.
Explanation and Support
We provide explanation and training about our rules. Through means such as our advisor compliance tutorial, summary of key compliance rules, and Frequently Asked Questions discussion, we help Advisors understand how to apply our rules in their consultations. Of course, an Advisor is never on her own when it comes to compliance. Guidepoint's Legal and Compliance teams are always available to answer questions and to assist Advisors in applying Guidepoint's rules.
The Importance of Accurate Information
Our compliance policies and procedures only work if they are based on accurate and up-to-date information. Consequently, every Advisor is contractually required to update their employment information and disclosure of potential conflicts with each new consultation. Guidepoint and its Clients rely upon this information in applying compliance screening and auditing.
Learn more about our rules and training:
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