Our compliance procedures are at the core of every aspect of our work at Pointer, and we understand how critical it is to maintain strict adherence to our standards, and yours.
Bill Maggart has worked in the primary investment research industry for more than 20 years, and has a deep understanding of the research compliance requirements and MNPI policies of institutional investors.
Extensive compliance training for employees – As part of their initial compliance, solicitation and MNPI training, all employees are required to acknowledge and sign documents stating that they understand and agree to comply with all internal, and client-specific compliance policies, as well as state and federal securities laws.
All collected data is aggregated and reviewed by Pointer Research management before delivery to clients for their own compliance review. Additionally, all survey responses are reviewed at multiple points during collection to avoid any incidental collection of material non-public information.
If any material non-public information is accidentally or incidentally provided to us by a respondent we have multiple reporting frameworks in place.
Researchers are not permitted to communicate directly with clients (all communication is through management ans project coordinators).
Pointer works exclusively with institutional investment clients which eliminates any potential violations of confidentiality or conflicts of interest with Industry clients. In addition, HMCG can incorporate a clients specific compliance framework into its processes.
