A Culture of Compliance
At BWG Global, we pride ourselves on a top-tier compliance structure and a culture of compliance that starts at the top and permeates throughout the firm.
Our Commitment to Compliance
Business Practices
- Uncompensated Participation: We do not financially compensate sources or industry professionals for participating in our channel research or primary research forums.
- Information Aggregation: Data is not collected from a single source.
- Transparency: Our research staff clearly identify themselves as BWG Global personnel and disclose their research purpose.
- Confidentiality Assurance: We ensure that sources are informed upfront they will not provide any confidential or material non-public information (MNPI) and are not under any obligations that would prevent their participation.
- Anonymity: No direct source attribution is included in our written research products.
- No AI in Research: AI is only used as a filter search on our portal platform, not in the research process.
Elevated Compliance Standards
- Strict Guidelines: Our research staff adhere to strict guidelines regarding MNPI and confidential information, ensuring no breach of confidentiality.
- Attestation: Research staff must attest to compliance guidelines before incorporating any source data into reports.
- In-House Expertise: All recruitment, screening, and research processes are conducted by BWG staff.
- Rigorous Review: Reports are reviewed and approved by multiple Senior Research Personnel (Series 24 trained) to eliminate MNPI risks.
- Annual Compliance Meeting: All staff must participate in our Annual Compliance Meeting.
- Registered Advisor: BWG Global is a registered investment advisor in California.
Since 1995, BWG Global has provided unbiased marketplace research for institutional investors, grounded in ethical principles and a robust compliance framework that ensures adherence to all applicable securities laws.