purpose of client protection team

Question 1

what does the client protection team do?

Answer 1

• this function ensures that all expert engagements are legally compliant, ethically sound and protect both Alphasights and its clients from risk
• this team helps clients safely access external knowledge without breaching confidentiality, regulation or reputation

Question 1

what are some of the key compliance policies?

Answer 1

confidentiality and non disclosure- experts are legally bound to not disclose material non public information, trade secrets or other third party confidential data
expert eligibility policy- certain professionals are restricted or excluded based on legal exposure
client specific guardrails- clients can set their own preferences

Question 2

what are some of the core processes for risk management

Answer 2

expert onboarding and vetting- background checks and screening to very eligibility
mandatory compliance training- experts must complete
live monitoring and intervention- client protection team monitors interactions and can terminate calls or raise red flags in real time
post engagement review- follow up

Question 3

what are some technologies in place to ensure security?

Answer 3

Alpha graph - cross references data
encrypted platforms- all calls and communications are handled over encrypted and access- restricted platforms
data privacy compliance- systems are built to comply with laws like GDPR, ensuring proper data handling and storage

Question 4

what are some common compliance risks?

Answer 4

• disclosure of MNPI
• conflicts of interest
• regulatory breaches
• reputational damage to the client or business
• data privacy breaches