ENG ||| Expert Network Group, LLC is committed to delivering relevant experts in a prompt, fully transparent manner. Our red-carpet service provides the most prudent and customized service available for both clients and experts. Not only is ENG subject to the extensive compliance requirements of a FINRA registered broker-dealer, but also adheres to a strict internal compliance framework. Prior to ENG’s launch, the founding members worked with their lawyers, clients, partners, experts, and board members, to build an all encompassing compliance protocol that is best of breed. ENG continually strives to stay ahead of changes in the marketplace. Our proprietary ERMS* software provides a transparent workspace which allows clients to monitor their product usage, view ENG's current compliance practices, and create a customized compliance solution to meet specific needs.

Components of ENG's compliance policy can be viewed below:

ENG ||| EXPERT VETTING & RECRUITMENT

• Prior to initiating a request, our research team identifies client’s needs and works to source the most suitable experts

• Evaluate and screen experts for relevancy, eligibility, and potential conflicts of interest (varies by sector - i.e.):

• HEALTHCARE: exclude any individuals that are involved in a drug or healthcare product clinical trial for which results have not yet been made public

• GOVERNMENT: exclude any individual who is in a position to vote upon or otherwise influence pending legislation, regulation, policy or contract

• Less than 2% of our network consists of executives of publicly-traded companies; our expert network is comprised of former executives, private company employees & independent experts

• Spend significant time interacting with experts, evaluating expertise and educating them on our compliance protocol

• Refrain from contacting employees at publicly-traded companies, unless specifically requested by client and authorized by client's compliance dept.

To which we apply stringent standards:

• Expert must obtain expressed written consent from current employer

• As always, absolutely no material, non-public information is to ever be discussed, disseminated or acted upon

• For executives recently departed from a publicly-traded co., ENG imposes a waiting period prior to having them engage in a 1x1 call (can be customized to your firm's standards, but at a minimum, earnings for the quarter in which they were last employed must have been announced)

• Ongoing Expert training & continuing education | VIEW DEMO

ENG ||| EXPERT REGISTRATION PROCESS

• All Experts must sign and agree to terms and conditions specified in ENG's Expert Agreement | VIEW ENG TERMS & CONDITIONS

• Expert must furnish last five (5) years of employment history (including background checks)

• Experts must complete a tutorial that addresses insider trading, material non-public information, conflict of interest, and other aspects of our best of breed compliance protocol

• ENG Terms & Conditions must be reaffirmed regularly via ERMS* portal

ENG ||| 1x1 CALLS | MEETINGS | EVENT HOSTING & MONITORING SERVICE

• Red-Carpet service (we handle all arrangements from start to finish, including all follow-up work)

• ENG hosts all events (1x1 phone calls, 1x1 meetings, group meetings & field visits), thereby adding a layer of compliance that further mitigates risks to all parties

• Prior to any event, ENG verbally reminds all participants of compliance requirements (experts & clients)

• Both experts and clients must adhere to e-mail compliance riders on both call confirmation (day call gets on calendar) & call reminder (sent day of actual call)

• Appropriate individuals can also be CC'd or BCC'd automatically on any e-mail correspondence via ERMS*

• ENG has the ability to monitor all 1x1 phone calls, meetings, and events for compliance; we advise client compliance managers/depts. to follow same protocol

• ENG handles ALL follow-up work to further manage risk; interactions that are independently arranged by clients & experts initially introduced by ENG are NOT permitted

• If requested, ENG has the ability to record phone calls for compliance purposes

ENG ||| WEB PORTAL

• ENG's proprietary ERMS* software provides a single point of access for clients and experts to manage and view all activity

• Allows authorized users to monitor and manage product usage & compliance

• Allows individual PM/analysts to view their personal activity, upcoming events, manage personal calendar, request follow-up calls and submit Custom Research Requests (CRR's)

• Allows Experts to update employment history, work experience, contact information as well as monitor their work and payment history with ENG

ENG ||| COMPLIANCE CUSTOMIZATION

• Your individual compliance demands can seamlessly be incorporated into our existing compliance framework

ENG ||| CORPORATE DATABASE

• ENG understands that current and prospective experts may have certain obligations related to 1x1 interactions with our clients. Therefore, ENG maintains a Corporate Database of firms who wish to specify how their employees interact with ENG's clients. Employers globally can contact ENG directly to outline their terms and conditions | REGISTER COMPANY

ENG ||| MAKE CONTACT

• If you would like to discuss or read any of our agreements in their entirety, please contact ENG's Compliance Department at 212.359.8280.

*ERMS - Expert Relationship Management System