Legal 2017-07-25T20:23:33+00:00

Legal

Compliance framework

At DeepBench, we take compliance seriously. We take pride in exceeding industry standards to ensure a safe operating environment for our clients and Advisors. For more information, please email us at compliance@deepbench.io for documentation on our compliance framework.

For Advisors

All Advisors on the DeepBench network have completed our compliance training and have signed our Terms and Conditions. To maintain eligibility, Advisors are required to review our training and sign our Terms and Conditions on an annual basis. By signing, Advisors have agreed to our compliance procedures and policies, including but not limited to:

  • Advisors have reviewed our Terms and Conditions, as well as having received training on our compliance framework.
  • Advisors may only participate in consultations that will not violate any obligations they have with other parties.
  • Advisors may only participate in consultations that do not represent a conflict of interest.
  • Advisors will not discuss any confidential information (or any information they believe may be confidential), including material, non-public information with clients.
  • Advisors will treat DeepBench’s clients and the content of their consultations as strictly confidential.

For a complete copy of our Advisor contract, please request a copy at compliance@deepbench.io.

For clients

At DeepBench, we recognize that every client’s compliance needs are different. We take a modular approach to supplementing our core compliance framework. Current options include:

  • Integration of client’s do-not-contact lists
  • Processing of client’s conflict of interest lists prior to initial Advisor outreach
  • Use thresholds (i.e. max interactions per Advisor by analyst, case, or firm)
  • Earnings thresholds (i.e. max earnings per Advisor by analyst, case, or firm)
  • Requested consultation pre-approvals
  • Periodic summaries of consultations

Should you have any questions, please let us know at compliance@deepbench.io.

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