Project Compliance
Project Manager Screen
At the commencement of each project, a Project Manager reviews the Client request to determine whether the Advisors and information sought comply with Guidepoint’s rules. Project Managers may request additional information from Clients and Advisors to approve requests, and will consult with Guidepoint’s Legal and Compliance Departments as needed.
Client Customized Protocols
Clients may elect to apply additional bespoke compliance protocols. These protocols have included qualifying rules, Client compliance officer pre-approval, and affirmations and/or questions that Advisors must satisfy before they may be added to that particular Client’s project. Typically, these rules are automated into Guidepoint’s IT platform and Clients can track compliance online.
Compliance Reaffirmation Prior to Every Project
To accept a project, an Advisor must reaffirm that they will conduct the consultation in conformity with Guidepoint’s Terms & Conditions and not disclose confidential information.
Advisors Paid if They End Consultation For Compliance Reasons
Our Advisors are obligated to terminate any consultation in which they believe they are being solicited to violate our compliance rules, and to report it immediately to Guidepoint. When they do so, they are paid for a full consultation, regardless of its duration.
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