BWG Event Compliance Guidelines

BWG Event Compliance Guidelines [Primary Research Forums]

Last Updated: February 18, 2025

Prior to attending any BWG Global Event, including but not limited to conference calls or roundtable discussions (“Event”), attendees must affirm and comply with the following compliance guidelines:

  1. Public Information Only: BWG will use its best efforts to ensure that services performed in connection with each Event will concern, relate to, and derive solely from sources of public information. BWG does not receive, disseminate, or facilitate the receipt or dissemination of material non-public information (MNPI).
  2. Institutional Investor Guidelines: Institutional investors will be attending the Events and:
    1. Institutional investors do not wish to receive, and the Industry Professional agrees not to communicate any MNPI about any company that will be discussed (each, a “Subject Company”), any other company, or its respective industry. Institutional investors may use the information provided at the Event to assist in investment decisions and would be seriously harmed if they were provided with any MNPI about a company.
    2. The Industry Professional understands that the Institutional investors are not seeking, and the Industry Professional agrees not to provide any non-public “confidential” information related to bookings, orders, sales, earnings, strategic transactions, management changes, or other material events or forecasts.
    3. Institutional investors do not wish to receive any information that the Industry Professional is obligated to keep confidential, has reason to believe is confidential, is not authorized to disclose to Institutional investors, or that the Industry Professional was not authorized to receive, whether such restriction arises from law, agreement, or company policy.

Conference Call Guidelines

At BWG Global’s discretion, clients and Industry professionals may be invited to join an Event via an audio or video conference call. Participants attending a forum event remotely agree to the following conditions:

 

    1. Confidentiality of Access Information: Participants shall not, under any circumstances:
      1. Publish, distribute, or make available to others the remote access or dial-in information.
      2. Conference in other professionals external to their organization or enable others external to their organization to listen to or view an Event.
      3. Distribute a recording of any Event.
    2. Liability for Breach: Any participant who breaches the above guidelines will be subject to associated liabilities.

BWG Industry Professional Vetting Process & Handling of Confidential Non-Public Information

BWG Global adheres to rigorous processes to ensure that Industry Professionals are fully aware of the risks and ramifications of communicating material non-public information (“MNPI”) or information protected by confidentiality agreements (“Confidential Information”).

  1. Qualification of Industry Professionals: All Industry Professionals are vetted by a Principal of BWG Global. This qualification process includes an in-person or telephonic discussion to review the format of the meetings and the presence of Institutional asset investors at such events. The Principal also explains BWG’s Event Compliance Guidelines, including the handling of MNPI and other information protected by confidentiality agreements. It is further communicated that, if employed, the Industry Professional must obtain all necessary approvals from their employer to attend and participate in BWG events. If the Industry Professional was employed by a public company within the prior 12 months, they are restricted from discussing their former employer.
  2. Event Participation: Upon passing the initial qualification, expressing interest in participating at events, and acknowledging, agreeing to, and intending to comply with the BWG Event Compliance Guidelines, the Industry Professional is provided with participation details and a copy of the BWG Event Compliance Guidelines.
  3. Event Moderation: BWG Global Principals moderate each Event. At the beginning of each Event, the BWG Principal reads aloud the following preamble:

Welcome, and thank you for joining BWG Global’s [Primary Research/Intelligence Forum Event] conference call. Before we begin, I would like to outline BWG’s Compliance Guidelines. By participating in this event, you agree to the following:

  • This forum is intended for the exchange of publicly available information only. Please do not share any material non-public information (MNPI), or any information covered by confidentiality agreements.
  • You confirm that you are not under any obligation to maintain the confidentiality of any information you share today with other attendees.
  • If you are currently employed, you have obtained all necessary approvals to attend and share information at this event, and your participation does not violate any policy, regulation, or agreement.
  • If you are a former employee, contractor, or consultant of a publicly-traded company and have left the company within the past 12 months, you are restricted from commenting on your former employer.
  1. Handling Breaches: In the event of a breach of the Event Guidelines during an Event, the moderating BWG Principal will terminate the Event and communicate the nature of the breach to the attending client firms. If BWG Global learns retroactively that the Event Guidelines were breached, BWG will communicate the nature of the breach to the attending firms.

View Consumer research examples

This field is for validation purposes and should be left unchanged.
Select an example pdf to download