Silverlight Research Compliance Framework
Overview
Silverlight Research operates within a detailed and rigid compliance framework for all of our projects. Compliance, trust and transparency are the core commitments for our business and ingrained in our culture. Our robust compliance process and structure ensures security for our clients and experts alike. The education that we provide our experts as well as our systems and compliance processes help experts manage conflicts and ensure compliance for our clients as well. For this reason we work with many of the leading corporates, investment funds and financial services companies globally. This overview outlines some key aspects of our Compliance process, it is not exhaustive but indicates our methodology
For Experts Who Advise Our Clients
Terms and Conditions
In order to be eligible to consult, Silverlight Research requires Experts to sign our Terms and Conditions. By signing, they agree that they:
In order to be eligible to consult, Silverlight Research requires Experts to sign our Terms and Conditions. By signing, they agree that they:
- Have reviewed any agreements or policies to which they are subject
- Will decline to participate in any project that would violate those agreements or any obligations they may owe to third parties
- Confirm they have completed and understood the compliance tutorial
- Will not provide confidential (including material non-public) information to clients
- Will keep client information and interests confidential
- Have provided up to date details of current employment information
- Will immediately terminate any consulting projects that move into subject matters they cannot discuss (in which case, if they notify us, we will compensate for the time they set aside)
Training
Our compliance tutorial training covers conflicts of interest, material non-public information (MNPI), confidential information and other key policies. It draws attention to any confidentiality obligations experts may have, and emphasizes that our clients do not want to receive confidential information and may actually be harmed if they are exposed to this
Conflict Management
For each project Silverlight Research conducts a bespoke search, and screens potential candidates to assess their eligibility and any potential conflict of interest. Among other measures, we ask Profile Questions which help us determine whether experts have the requisite knowledge to provide insight to clients, as well as to understand the experts’ conflicts and limitations. We actively solicit conflicts and use this information to disqualify experts from participating in projects that are not suitable for this reason. For example, experts are prohibited from consulting regarding their current employer or other third parties to whom they owe confidentiality obligations. We also restrict specific industries and classes of experts as appropriate
Frequently Asked Questions ('FAQs') for Experts
Please click here for frequently asked questions by Experts
Our compliance tutorial training covers conflicts of interest, material non-public information (MNPI), confidential information and other key policies. It draws attention to any confidentiality obligations experts may have, and emphasizes that our clients do not want to receive confidential information and may actually be harmed if they are exposed to this
Conflict Management
For each project Silverlight Research conducts a bespoke search, and screens potential candidates to assess their eligibility and any potential conflict of interest. Among other measures, we ask Profile Questions which help us determine whether experts have the requisite knowledge to provide insight to clients, as well as to understand the experts’ conflicts and limitations. We actively solicit conflicts and use this information to disqualify experts from participating in projects that are not suitable for this reason. For example, experts are prohibited from consulting regarding their current employer or other third parties to whom they owe confidentiality obligations. We also restrict specific industries and classes of experts as appropriate
Frequently Asked Questions ('FAQs') for Experts
Please click here for frequently asked questions by Experts
For Clients
The compliance (or other) department of our clients may wish to review the profile of an expert for a potential engagement prior to this taking place. For this reason, Silverlight Research will send a profile summary of the proposed expert to the compliance department of our clients direct for pre-approval. This profile will include their biography, industry experience, and responses to Silverlight Research key profiling questions. Our clients then have the opportunity to ask any further questions or clarifications where required to Silverlight Research which we will refer to the expert for answers before the engagement can go ahead. On receipt of any further required information our client can then approve the engagement, decline, or to ask for an alternative expert if necessary. Clients can also elect for certain categories of experts to be excluded from the search conducted by Silverlight Research to ensure that the expert is in line with their specific compliance requirements. Should you have any questions regarding our compliance process please email compliance@silverlightgroup.com
For Employers
Silverlight Research recognizes that employees of companies should be considered in a different manner to independent consultants. Of course, employed experts are prohibited from participating in projects which may present a conflict (such as those in relation to their employer). Silverlight Research proactively reaches out to companies where necessary to review publicly available corporate policies to find out if they have policies against outside consulting. Through this process, Silverlight Research has developed a database of employer preferences which facilitates consultation only where it is permitted by organisations' corporate policies. If you are an organisation and employer and would like to inform us of any policies you have regarding outside consulting, please feel free to do so via by emailing us at compliance@silverlightresearch.com
Privacy Policy
Our Privacy Policy sets out how Silverlight Research collects, uses, shares and protects information (including personally identifiable information) obtained from Clients, Experts, as well as visitors to our website www.silverlightresearch.com
Anti-Bribery and Corruption Policy
Integrity and sound ethics at the centre of our company. We pay particular attention to carefully assess every single potential engagement from a compliance perspective, to make sure the expert fully understands their commitments and limitations, and to ensure that the process takes place within our rigid compliance framework. Our clients know they can build their market knowledge and use our service with complete confidence. Please see here our Anti-Bribery and Corruption Policy
