Service Overview

What is the
client issue?

Clients are increasingly engaging in the services of Expert Network Platforms as part of their research efforts. There is inherent risk of potential material non-public information (“MNPI”) being shared during these one-on-one research calls. Regulators and prospective/current investors alike have taken an interest in how firms are mitigating this risk.

How does
Optima help?

Our clients depend on our trained, dedicated global team to chaperone expert network, report back concerns and meet the regulatory and commercial industry best practices of monitoring a percentage of calls against any potential MNPI risks as well as general conflicts of interest and compliance best practice.

As part of our global expert network call chaperoning programme we offer clients the following all-encompassing services:

  • Silenced and / or announced expert network call chaperoning
  • Maximum coverage of hours, based on a follow the sun model
  • Customised services based on your specific internal policies
  • Transcript reviews
  • Monthly or quarterly reporting and management information on expert network call monitoring

We work with all major expert network platforms to create a streamlined approach to our services and help clients to build policies and procedures relating to using expert networks.

OVERVIEW
Optima Case Study

Expert Network Calls Chaperoning

We recently intervened while chaperoning a call for one of our clients where the client’s Analyst asked the Expert if they would be interested in participating in a joint investment for a private deal the firm was contemplating. We were able to inform the CCO immediately of this exchange and the CCO was able to take immediate action to ensure no further communication would take place with the Expert.

More common scenarios relate to Analysts and Experts attempting to share personal contact information. In most of those cases, Optima has the client’s permission to announce ourselves on the call and prevent the information from being shared. We subsequently advise the CCO of the mitigated infraction.

CASE
STUDY
Contact Us

info@optima-partners.com

CONTACT

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