Compliance

A robust compliance framework is hardwired into the Knowledge Ridge DNA to enable smooth and seamless access to global insights and expertise, while tightly following all global regulatory requirements.

Our careful screening process makes certain that any potential issues related to conflict of interest or non-disclosure agreements are filtered out. A strong compliance team in place observes, checks, and approves all expert-client engagements to protect both parties.

Knowledge Ridge follows a comprehensive 4-step compliance process involving team members at every step in the value chain to safeguard all parties involved from exchanging any proprietary, confidential, or material non-public information. Additionally, we track and maintain 10- year employment history of every expert that we work with.

Knowledge Ridge Compliance

Key Elements and Advantages:

Strong compliance protocols are embedded in each and every step of Knowledge Ridge's modus operandi.

Dedicated point of contact

Dedicated single point of contact ensures that every compliance requirement is effectively communicated to all the parties involved; resulting in a complete understanding of compliance conditions that enhance and strengthen our business relationships.

Customization for diverse clientele

Our dynamic approach allows us to adapt quickly and customize accordingly, while simultaneously safeguarding our stakeholder's risks, that includes both clients (investment management firms, professional services firms, corporations) and experts.

Robust vetting & background checks

We implement and strictly adhere to a comprehensive approach towards vetting experts - our standardized compliance process eliminates the risk of any conflict of interest during our expertise delivery.

Ethical research practices

We do not allow our experts to discuss their current employment or employer with any client type - we constantly observe ethical research practices that reinforce our commitment to our values and quality.

Additional Compliance Protocol For Institutional Investors:

For hedge funds and mutual funds, Knowledge Ridge will never facilitate consultations with experts employed in publicly traded companies (unless more than 7 months departed) or healthcare professionals involved with clinical trials.

Knowledge Ridge does not recluse itself from expert-client engagements and thus, we reserve the right to monitor such interactions and maintain records for future reference, as and when necessary.

Any exception to the aforementioned compliance protocols will require written approval from the relevant stakeholder's compliance team.

Our Compliance Standard

Knowledge Ridge sets the compliance bar high with not only our world-class processes and protocols in place, but also our ability to monitor each expert-client engagement with skilled human capital.

  • What are the steps undertaken by Knowledge Ridge to ensure that its employees adhere to compliance policies?

    4-step compliance check [Researcher < Research Manager < Account Manager < Compliance Team] for each engagement and regular interactive training.

  • What are the background checks in place to verify expert's authenticity?

    Secondary research checks including various databases, and primary research checks involving conversations with former colleagues and associates.

  • In which situations do experts become ineligible for a consulting project?

    1. Current employee of focus company
    2. Former employee of focus company with a current NDA or COI
    3. Former employee of focus company - less than 7 months departed
    4. Involved in clinical trials
    5. Government employee
    6. Auditor or financial consultant to the focus company - less than 3 years departed
    7. Direct competitor of our client

  • Are all experts required to obtain written permission from their employer prior to consulting?

    In cases where self-consent is not enough, as determined by our compliance team.

  • Has Knowledge Ridge ever been investigated by a governing or regulatory body?

    Never.

Get in Touch

Get in touch to know more about our compliance framework and protocols. Learn how Knowledge Ridge adds value through our best-in-class compliance standard.

KR Compliance Team