RFG
Our Blog  |  Already a subscriber? Sign In

Survey

You are here: Home » Survey
Survey on Expert Network Issues
1)
Do you currently, or have you in the past, used expert networks and/or other research consultants?
Never.
Only in the past.
Currently.
2)
Has your use of expert networks and/or other research consultants changed since the Galleon case first became public?
No, and our firm is contemplating no change to current policies and procedures.
Not yet, but we are considering changes.
Yes.
3)
Does your firm require preapproval from Compliance and / or Legal before engaging expert networks or research consultants?
No, and our firm is contemplating no change to current policies and procedures.
Not yet, but we are considering changes.
Yes.
4)
Does your firm use a standard form, signed by expert or research consultant, which attests that there will be no violation of any confidentiality agreements or disclosure of non-public information?
No, and our firm is contemplating no change to current policies and procedures.
Not yet, but we are considering this.
Yes.
5)
Does your firm require a representative from Compliance and / or Legal to be present at all meetings and / or advised of all communications?
No, and our firm is contemplating no change to current policies and procedures.
Not yet, but we are considering this.
Yes.
6)
Does your firm require more than one person to be present during conversations with such experts or
consultants?
No, and our firm is contemplating no change to current policies and procedures.
Not yet, but we are considering this.
Yes.
7)
Does your firm require logs of conversations?
No, and our firm is contemplating no change to current policies and procedures.
Not yet, but we are considering this.
Yes.
8)
Does your firm prohibit use of experts/research consultants unless those individuals are retained as part of a firm with standard due diligence procedures
No, and our firm is contemplating no change to current policies and procedures.
Not yet, but we are considering this
Yes.
9)
Does your firm ban all use of “experts” or “expert networks” by the investment team, including analysts, traders, and portfolio managers?
No, and our firm is contemplating no change to current policies and procedures.
Not yet, but we are considering this.
Yes.
10)
Other policies and practices being contemplated?
Please Specify
11)
We understand that in some recent examinations the SEC has raised issues with respect to conversations between investment managers and employees of publicly traded companies. Are you aware of this?
Yes.
No.
12)
If yes, how did you learn of this?
I was not aware of this.
Directly, during an examination.
Indirectly, from another investment management firm involved in an examination.
Other (Please Specify)
13)
Have you changed or are you considering changing your policies and procedures in light of this
development?
No, our firm is contemplating no change to current policies and procedures.
Not yet, but we are considering changes.
Yes. (Please describe what you have changed or are considering changing)
14)
What description best characterizes your firm? (Please select all that apply)
Fund(s) of Funds
Mutual Fund(s)
Hedge Fund(s)
Private Equity Fund(s)
Real Estate Fund(s)
Separate Accounts
Venture Capital Fund(s)
Other. (Please Specify)
15)
What are your firm’s assets under management (including leverage)?
Under $10 million
$10 million - $250 million
$250 million - $1 billion
$1 billion - $10 billion
Over $10 billion
About Us
Home | Blog | Services | News & Publications | About Us | Terms of Use | Privacy Policy | Contact Us
©2012 The Regulatory Fundamentals Group LLC
Follow RFG on Twitter
Follow us on Twitter