The Capvision team view compliance regulations and clients’ compliance policies as a very important part of our business and we work very intensively to ensure that we create a compliance framework that adheres to global compliance policies and our client’s compliance policies to the highest standard.

Our Compliance Framework

Our experts consult within a strict compliance framework. Experts always review the topic of a consultation before interacting with a client and confirm that they can discuss that topic. Capvision requires clients to inform us of their specific areas of interest before soliciting an expert for that topic.

Expert Compliance

In order to join the Capvision Expert Network, each expert is subject to three processes before providing consultations for our clients. Firstly, we train our experts regarding non-disclosure of material non-public information and duty of confidentiality. Secondly, experts are required to agree to our terms and conditions. Our terms and conditions provide that:

• Experts must review their employee contracts, manuals, handbooks and obtain any necessary waivers and consent to perform expert consultation services.
• Experts have a duty to provide accurate information regarding their identity, background and area of expertise.
• Experts must not disclose material non-public information or any other sensitive information in which they owe a duty of confidentiality.
• Experts must keep all client information confidential.

Lastly, we remind all our experts of non-disclosure of material non-public information and duty of confidentiality prior to each consultation they perform.

Capvision Team Compliance

All Capvision team members are trained rigorously regarding our internal code of conduct and compliance policies and also client compliance policies. We provide regular monthly compliance training to all new Capvision team members and update our training materials on an ad hoc basis to keep up-to-date on changing rules and regulations. Upon completion of training, all team members must write a Capvision Compliance and Code of Conduct Test to ensure they have retained the knowledge. Our internal code of conduct and ethics include:

• Duty to keep all client and expert information confidential.
• Duty to remind all experts of the requirement to non-disclosure before every consultation.
• How to recognize material non-public information.
• When to contact Capvision compliance.
• Duty to not trade on any information obtained through the course of their job.

Client Compliance

Capvision services both domestic and international clients who place their trust in Capvision compliance procedures. For this reason, in addition to our existing compliance framework, Capvision proactively work with clients to implement and reinforce any client specific compliance requests.

Capvision Compliance Team

Our Capvision compliance team is prepared to answer any questions and address any concerns that clients and experts may have. For any queries, please feel free to contact Capvision compliance at: compliance@capvision.com.cn