Compliance

Our business is built on trust, transparency and sound ethics. Compliance is a central part to how we do business.

Protecting both our clients and Advisors is a critical part of our job.

Advisor Policies

Compliance Training

During the registration process, each expert completes compliance training that covers securities laws, confidentiality laws and our policies.

Call Eligibility Assessment

For every call request, Advisors are expected to assess their eligibility and any potential conflicts of interest prior to accepting a call. For example, Advisors are prohibited from consulting about their current employer or other third parties to whom they owe confidentiality obligations.

We also restrict specific industries and classes of Advisors as appropriate.

Terms & Conditions

Before each consultation, Advisors and clients must agree to abide by Pengo Insight's Terms & Conditions, which prohibit the disclosure of confidential and material, non-public information.

Pengo Insight Policies

Employee Compliance Policies

All Pengo Insight employees sign confidentiality agreements and are required to have their trading transactions pre-approved.

Feedback & Review

After each consultation, Advisors and clients have an opportunity to provide feedback directly to a Pengo Insight representative. Advisors are given a rating after each call.

Compliance Approach

Client Oversight

Compliance officers for enterprise clients can access and/or sit in on client Advisor consultations as appropriate, with their client representatives..

Customizable Rules

Due to the self service nature of our platform, clients can determine their compliance requirements upon sign up to exclude specific categories of Advisors and increase their oversight where required.

Your can view our terms and conditions here: Privacy Policy


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