Auditing and Review
Systematic Review and Follow-up
In addition to our Project Managers, we employ a team of full-time compliance employees. This team reviews a sampling of projects at several stages, searching for potential violations of Guidepoint's compliance rules as well as other issues that bear further examination. Where appropriate, they follow-up with Advisors and/or Clients.
Proprietary IT Platform
We have invested millions of dollars in a proprietary IT platform that enables review of projects at all stages, layering of Client-specific compliance protocols and preservation of a detailed audit trail of requests, communications and consultations.
Client Project Interface
Our Client interface gives Client compliance personnel real-time visibility into and control over their organization’s use of our services, including pre-clearance of consultations and audit of compliance screening responses.
