Welcome to the Experts Compliance Tutorial (2011)

• This tutorial is intended to educate you on ENG's compliance framework as well as provide clarity on what should and should not be discussed when engaging with ENG clients.
• Under the U.S. Federal Securities laws, it is illegal for any person, either personally or on behalf of others, to trade in securities on the basis of material non-public information. It is also illegal to communicate or "tip" material non-public information to others so that they may trade in securities on the basis of that information. These activities are commonly referred to as "illegal insider trading."
• Your understanding of what not to discuss is highly crucial to protect all parties involved. ENG clients include some of the largest, most well known, money managers in the world, and they do not want to receive any confidential or material non-public information - intentionally or unintentionally. The mere possession of any information of this nature can prevent our clients from executing previously planned trades, lead to abandoning all the research done on the topic(s), and may cause legal complications and irreversible damage to their reputation.
• Please keep in mind, this tutorial does not supercede ENG's legal notices, terms and conditions, nor does it offer or constitute legal advice.

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