COMPLIANCE POLICY

TERMS & CONDITIONS

An Expert in our network cannot consult with clients until they have agreed to our terms and conditions which explain our detailed compliance policies. To be eligible to participate in a consultation, they must have agreed to our Terms & Conditions within the last year, and they are also required to provide current employment information.
An overview of some of our basic compliance policies consists of:

1. Experts may only participate in consultations that do not represent a conflict of interest or violate any existing agreements they have with other parties.
2. Experts will not disclose any confidential information (or any information they believe will be confidential), including material, non-public information with Clients.
3. Experts will not discuss information about a company for which they are currently employed or for which the expert advises.
4. Experts will treat Rise Up’s Clients and the content of their consultations as strictly confidential.

If an expert determines at any time that their participation in a project could result in a violation of any terms and conditions or may present a conflict of interest, they must immediately terminate their participation in such projects and notify Rise Up.

EXPERT ELIGIBILITY SCREENING

For every project, Rise Up screens potential Candidates for quality and relevance, and assesses their eligibility and any potential conflicts of interest.

EMPLOYEE COMPLIANCE POLICIES

All Rise Up Employees sign confidentiality agreements and are required to have their trading transactions pre-approved by our compliance department. In addition, Employees go through compliance training before they are allowed to execute a project.

CLIENT PROJECT ASSESSMENT

Prior to accepting any new client project, we first review to ensure it complies with our internal compliance guidelines. By working with us, Clients are strictly prohibited from soliciting any confidential information, including material, non-public information.

CUSTOMIZABLE RULES

We can accommodate, and welcome, requests for additional compliance controls from Clients. We also work with our Client’s in-house compliance team to ensure that we adhere to their unique compliance needs. This may include customized screening questions, pre-approval of potential Experts by the Clients compliance department or requests to exclude a certain category of experts.

FEEDBACK & REVIEW

After each consultation, Experts and Clients have an opportunity to provide feedback directly to their Rise Up representative.

RESTRICTED COMPANIES DATABASE

Any time Rise Up learns of any company policies that prohibit employee participation; we add that company to our Global Exclusion Registry. Any Expert in our network that are identified as employees of these companies will not be permitted to participate in any consultations.