Pride Advisory PAS Color Logo Transparen

Headquarters 

420 Lexington Ave, 30th Floor

New York, NY 10170​

Contact

Sims Tullos

Business Development, Pride Advisory

Tel: 212.235.5329

sims.tullos@prideglobal.com​

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Compliance Tutorial

Dear Advisor

Thank you for your interest in the Pride Advisory network! This Compliance Tutorial is a required component in the Consortium Profile process and will provide you with a glimpse of our compliance policies and procedures and your obligations with respect to compliance.  

 

Completion of this Compliance Tutorial along with execution of a Consortium Advisor Agreement, setting out each of our rights and obligations, are required steps to becoming a Consortium Member.

Basics

  • Before you accept a Project, it is your obligation to review the applicable Work Order carefully to ensure that your participation in the Project will not violate any agreements or obligations you may have with a current or former employer or any other third party.

  • Make sure that you provide the Company with accurate and complete biographical information and update the information promptly when changes occur so that we will avoid apparent conflicts.

  • Our Clients rely on your extensive knowledge and understanding of business and industry trends. However, you should avoid disclosing any trade secrets, proprietary or confidential information or other material, nonpublic information in your interactions with Clients.

  • While you have valuable opinions, you must not offer investment, financial, medical or legal advice.

  • You have a right to decline any Project for any reason.

Conflicts of Interest

  • You cannot disclose any information of others that you owe a duty of confidentiality, whether by professional standards (e.g. ethics rules), applicable law (e.g. HIPAA or SEC regulations) or by contract (i.e. confidentiality agreements).

  • If you currently serve as a government employee, you must adhere to any rules and policies applicable to your agency and your position.

  • You cannot provide consultation regarding any organization (i) in which you currently serve as an officer, director, manager or employee, (ii) in which you hold an ownership interest, or (iii) that directly competes with an organization described in (i) or (ii).

  • If a conflict arises after you accept a Project, you must notify the Company and the Client immediately and suspend your participation in the Project. Pride Advisory is not present at your consultations so if a conflict arises during the course of providing services, you are responsible for taking appropriate action to notify the Client and terminate the call or other session.

Material nonpublic information:

Within the meaning of the US federal securities laws, material nonpublic information includes information that is not publicly available and that contains economic value in the sense that it could affect the stock price of a publicly traded company. You are strictly prohibited from divulging any material nonpublic information in performing the Services and from sharing any material, nonpublic information that you learn in the course of a Project or as a Consortium member.

Confidentiality

You agree not to disclose or to attempt to use or personally benefit from any confidential information disclosed to you, including but not limited to any material nonpublic information, on account of your participation in a Project or as a Consortium member. Your communications with Clients, the nature and terms of a Project and any information you obtain from a Customer or Pride Advisory during the course of a Project must be held in confidence.

Compliance Quiz