Expert Network Consultation Chaperoning

Expert Network Consultation Chaperoning

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Expert networks comprise industry professionals offering investment firms research and insight in their respective fields. Investment firms then typically use the research gathered from those experts to help inform their investment ideas and strategies. While firms may strive to chaperone expert network consultations, they often face resource and time constraints that prevent them from effectively monitoring these meetings.

ACA is available to listen to consultations, document the calls and any observed inconsistencies with policies and procedures, provide instant escalation of concerning material that arises during calls, and deliver findings to help firms create a regulatory audit trail.  Our expert network consultation chaperoning service is available in multiple languages and across time-zones to ensure global support for your firm. 


To learn more, download our factsheet or contact Sam Reid or Carl Day on +44 (0)20 7042 0560.

How We Help

We can join expert network consultations in listen-only mode, on an announced or unannounced basis. We will document the consultation, note inconsistencies, and identify potential compliance risks and violations.

We will provide a written summary report of the consultation in which we highlight aspects that warrant further review. We are also available to discuss our findings, if necessary.

Financial services firms should make it a top priority to ensure that their staff follow the relevant FCA rules.  ACA can help through expert network consultation chaperoning, which may:

•    provide resources to carry out monitoring when a firm is resource constrained; 
•    assess compliance with a firm’s internal policies and procedures (including Restricted List adherence);
•    provide feedback to a firm as to whether their compliance training is being applied effectively;
•    identify questionable conduct through surveillance of expert network consultations; 
•    bolster a firm’s compliance monitoring program; and,
•    help firms demonstrate their compliance to regulators.

 

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