GLG’s Compliance Framework

Sharing powerful insights comes with great responsibility. We have spent thousands of hours developing and implementing the most robust compliance systems and protocols in the industry. Compliance is built into our brand and our products. Our unparalleled Compliance Framework allows clients to leverage expert insights through a trusted platform supported by compliance-trained experts and GLG professionals.

Every day, our clients rely on GLG’s global team to connect them with insights from our network of more than 900,000 experts.

Mitigating Risk
Every time a Council Member shares insight with a client, GLG’s Compliance Framework helps protect both parties.
Clients

How GLG’s Compliance Framework helps protect our clients’ interests:

  • Mitigates risk of inadvertently soliciting or receiving confidential information from a Council Member
  • Controls and limits project information shared within GLG and with potential experts to safeguard the confidentiality of client research
  • Applies common sense rules to avoid connecting clients to certain experts who have conflicts of interest or are prohibited from consulting by their employers
  • Implements custom controls to screen and manage Council Member engagements
Council Members

How GLG’s Compliance Framework helps protect our Council Members’ interests:

  • Requires Council Members to complete annual interactive industry-specific training to sensitize them to handling confidential information
  • Allows Council Members to denote certain off-limit topics to limit invitations to projects not appropriate for them
  • Incentivizes Council Members to end a consultation in order to comply with confidentiality obligations
  • Leverages trained GLG professionals to help Council Members navigate potential conflicts and clarify expectations for participating in GLG projects

Setting the Compliance Standard

GLG’s Compliance team is led by GLG’s General Counsel, Laurence Herman, who has almost two decades of industry experience, and Chief Compliance Officer, Jonathan Scott, who joined GLG after 13 years at the U.S Securities & Exchange Commission. They manage a global team of more than 50 professionals. Our Compliance Framework sets the standard for our industry by helping to protect our clients from being exposed to confidential information and helping Council Members engage on projects that are appropriate for them.

Our clients recognize the tangible benefit our compliance procedures provide to their businesses. The standards we uphold allow thousands of experts to safely provide insight to our clients every week. We continually strengthen our Compliance Framework by optimizing our compliance protocols and working with clients and Council Members to enhance our systems and processes.

Learn More about GLG’s Compliance Framework

Contact Us

GLG’s Compliance Team regularly engages with current and prospective clients to talk about our Compliance Framework and answer questions. To learn more about our compliance protocols, reach out to your GLG contact or enter your contact information below.

感谢您对GLG的关注，我们将尽快就您的需求与您联系。