Guidepoint Quarterly Advisor Review Issue 3 2020

I S S U E 2 2020

QUARTERLY ADVISOR REVIEW

I N S I DE T H E I S S U E : • From Our Team • Top Advisor FAQs of the Quarter • The Role of Subject Matter Experts During the COVID-19 Pandemic • Insights Call Series • Advisor Spotlight • In Case You Missed It

FROM OUR TEAM

We are working with new clients and opening fresh projects every day.

Welcome to the latest edition of Guidepoint’s Advisor Review!

In this issue we discuss the role expert networks and subject matter experts play in the era of COVID-19. As usual, we also answer this quarter’s most Frequently Asked Questions and spotlight one of our outstanding Advisors. If you have questions or feedback, please reach out to let us know!

–­ The Advisor Relations Team advisor.relations@guidepoint.com +1 844 414 0000

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TOP ADVISOR FAQS OF THE QUARTER 1. Where can I review all of my pending Guidepoint project invitations?

You can review and reply to all of your pending project invitations at once at the Advisor Portal’s “Invitations” page. Since most Guidepoint projects are time-sensitive, we recommend that you reply to invitations as quickly as possible in order to maximize your chance of being selected for consultations. Clients consider screening responses when deciding which Advisors to set up paid consultations with, so we suggest that you answer screening questions in 2-3 sentences with as much detail as possible.

2. Where can I review all of my Guidepoint payments?

You can review all of your past Guidepoint payments at the Advisor Portal’s “Payments” page You can also access all of your past Guidepoint invoice forms from this page. If you ever have questions or concerns about any of your invoices or payments, please email Guidepoint’s Billing team at billing@guidepoint.com for assistance.

4. How can I contribute to the Guidepoint Advisor Blog?

3. Should I update my Guidepoint profile?

Yes! Please visit the Advisor Portal’s “My Profile” page to update your Employment History and Biography any time your employment or job title changes. You should also review your profile every six months to ensure that it is up to date and that it includes as much detail as possible about your professional responsibilities and accomplishments over the past few years. This helps us send you relevant project requests and gives our clients a better understanding of your expertise.

If you are interested in contributing a post to the Guidepoint Advisor Blog, please email advisor.relations@guidepoint.com and note a topic that you would be interested in writing about. Possible topics include recent industry and market trends, noteworthy disruptions, and long-term outlook. If selected, a Guidepoint representative will reach back out to let you know that you are a good fit for the Advisor Blog. While contributions are not compensated, they are a great opportunity to build your personal brand and receive recognition as an expert in your field.

5. What do I do if I need assistance from Guidepoint?

We’re here to help! When visiting the Advisor Portal you can click “Request Assistance” to ask a question through the Portal. Your inquiry will be directed to the proper Guidepoint team. You are also welcome to email the Advisor Relations Team directly at advisor.relations@guidepoint.com or call us at +1 844 414 0000.

YOU CAN VIEW AND EDIT YOUR PROFILE ANY TIME IN THE GUIDEPOINT ADVISOR PORTAL. ISSUE 2 2020 | 3

GUIDEPOINT ARTICLE The Role of Subject Matter Experts During the COVID-19 Pandemic

Advisors that consult on behalf of expert networks are uniquely positioned to help our clients understand the changing landscape, because you have first-hand knowledge of the topics they need information on. This provides a number of key benefits that can be difficult for individuals to achieve on their own. An expert network lets them:

1. Connect with experts who are closer to the topic. With all of the uncertainty of the pandemic and ongoing changes in the economy, expert networks enable users to hear first-hand from the experts on the front-lines who are dealing with the unfolding situation every day.

2. Vet ideas with unbiased, independent third-parties. No hidden agendas, nobody trying to sell anything, expert networks help businesses and investment professionals to access opinions and information on any topic, knowing that it will be accurate and remain confidential.

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3. Ask questions on a precise issue. Rather than relying on broad information that is readily available on the open internet or through popular sources, working with an expert network gives clients the opportunity to ask very specific questions from you the expert who is fully informed on the exact details of their situation.

4. Reduce turnaround time from research to implementation. By increasing the speed with which an expert can be identified and contacted, companies and investors can be first‑to‑market with information, beating out the competition.

GUIDEPOINT INSIGHTS MODERATED RESEARCH Over a year ago we expanded our service offering with the launch of Guidepoint Insights.

If you haven’t already, make sure you follow us on LinkedIn to stay up to date on what timely topics we are covering with your fellow Advisors.

Below are some of the calls we have highlighted:

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ADVISOR SPOTLIGHT This quarter we are excited to highlight Lloydette Bai-Morrow Lloydette is the Founder and Principal Consultant of ParaMetric Global Consulting.

Since 2017, Lloydette has been using her legal, compliance, investigation, training, process evaluation and project management expertise to provide counsel and services to companies, institutions and governments. She has designed and delivered training to a broad spectrum of participants including senior civil servants, journalists and politicians. Lloydette has designed and implemented multiple anti-corruption, money laundering and fraud investigation courses and workshops for clients including the British Council, Crown Agents and Public Administration International. She is a respected and sought after expert in her field and she regularly provides expert insight and analysis to a range of organisations including top investment banks, strategic consultancies, asset managers and hedge funds.

Internal Investigations: Principles to Consider

Examine and scrutinize the context as that can provide a steer for the critical early decisions to be taken.

By Lloydette Bai-Morrow

WHO IS STEERING THE SHIP?

The pandemic has created tempting opportunities for fraud, corruption, and other financial crimes.

Those complicit in criminal activity today may stay put or move on to different companies tomorrow.

Organisations will need to be prepared for what may be uncovered once the dust settles.

Be careful when deciding who should have oversight responsibility for the investigation. Should it be management or the Audit Committee? While both are motivated to protect the company, how they do that may have significant implications for the thoroughness of the investigation and the best outcome for the company.

How do you get ready? Here are principles to keep in mind:

HAVE A PLAN THAT FITS THE CIRCUMSTANCES

Keep a record of the actions taken from the initial discovery to the commencement of the investigation.

WHAT HAPPENS AT THE START MATTERS One size doesn’t fit all. An investigation that is tailored Once a potential issue has been uncovered, take to fit the circumstances is likely to swift and decisive action. be more focused and effective.

The situation may need to be It may be helpful to divide the referred to law enforcement or Consider whether you investigation into manageable the regulators in due course. phases with clear objectives and have the right skillset Therefore, the urgency with timescales for each phase. within the company to which action is taken will be manage the investigation important.

HELP WANTED! UNDERSTAND THE CONTEXT IN WHICH THE ISSUE HAS ARISEN Is there a whistleblower? What about a disgruntled employee? Or has there been a systemic accounting or governance failing?

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Consider whether you have the right skillset within the company to manage the investigation. Do you need additional resources or third-party assistance? Does the investigation require the independence that instructing an external party may bring?

ADVISOR SPOTLIGHT (CONT.) REMEMBER RELATIONSHIPS

BE FOCUSED, BUT FLEXIBLE

The investigator, whether internal or external, should be mindful of relationships that are likely to continue should the allegations prove to be unfounded. If an investigation is badly managed, those relationships could be irreparably damaged. Consider the role of HR or others in providing to investigators valuable insight about the individuals that are the subject of the allegations and their relationships that could be impacted.

The facts that are uncovered during the investigation are likely to mean that the scope of the investigation should expand in some directions and possibly contract in others. The temptation is to ignore new information that doesn’t fit into an established narrative. Be prepared to be flexible. Start with the process in mind, not the end result. Rinse and repeat as the facts emerge, and the status of the investigation changes.

IN CASE YOU MISSED IT In the Advisor Spotlight of our previous Advisor Newsletter, Guidepoint Advisor Joseph E. Fournier talked about the impact of transformative leaders. Here are some key points from that blog:

Did you miss our last Advisor Newsletter? You can take a look back on previous FAQs, trending topics, information on Guidepoint, as well as the Advisor Spotlight.

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Learn More For more information please contact: e: advisor.relations@guidepoint.com p: +1 844 414 0000 Follow us on:

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by Guidepoint is not intended to constitute investment advice, nor is it intended as an offer to sell or solicitation of an offer to buy any security. Guidepoint supplies products and services to its clients for general information purposes only and you should not rely solely on the information provided through any Guidepoint products or services in making any investment or other decision. © 2020 Guidepoint Global, LLC. All rights reserved. Guidepoint ® and the marks relating to Guidepoint products and services are either trademarks or registered trademarks of Guidepoint. www.guidepoint.com AR-02-GPAN 03-2020-01