InterAxS has a strict compliance framework in place for any speaker or expert participating in our events.

We work with our client base to ensure their own internal compliance obligations are met to the highest standard.

Any expert speaker participating will have successfully completed a stringent vetting process, undergone compliance training and agreed to the InterAxS terms and conditions.

If a candidate is unable to complete any aspect of the screening process they will not be eligible to participate in an InterAxS event.

Our Compliance Advisor is Steven Nash of 3CR Consulting https://www.3crconsulting.com/

Expert Speaker Compliance Policy & Attestation

InterAxS does not conduct any form of regulated activity.  However, speakers and/or attendees at InterAxS events may be representatives of regulated banks, broker dealers, asset managers, hedge funds, insurance companies etc.  Alternatively, they may be private or institutional investors, or companies seeking investment, or they may be representatives of governmental institutions.  Consequently, it is essential that all speakers at InterAxS events adhere to the strictest legal and regulatory standards.

This Compliance Policy is to summarise the key legal and regulatory obligations that all InterAxS speakers must adhere to.  We require you to review and attest to full compliance to this Policy, before permitting you to speak at an InterAxS event.  Any breach of this policy may result in legal, regulatory and/or reputational consequences for you, for which InterAxS does not accept any liability.  If there are aspects of this Policy that you do not understand, either in general or with reference to your own specific circumstances, you are required to discuss it with us in order that we can determine whether to provide you with specific Compliance advice and/or training.

 

Vetting Procedure

You are required to provide to InterAxS all information and/or documentation required to allow us to confirm your identity and credentials.

We confirm that we will treat all information and documentation provided to us in the strictest confidence and will destroy all such information and documentation as soon as we have completed our vetting procedure in accordance with InterAxS’s Privacy Policy.

 

Criminal, Civil and/or Regulatory Proceedings

If you are subject to any historic, current or pending criminal, civil and/or regulatory proceedings, you must disclose these to us so that we can assess whether we are permitted to proceed with your speaking engagement.

Third Party Restrictions

You must not be subject to any non-disclosure agreement or other third party contractual, policy or procedural restrictions that prevent you from speaking at an InterAxS event.

If third party consent is required before speaking at an InterAxS event, you must obtain that consent.

It is your obligation to ensure no such restrictions exist or that consent is obtained where necessary.

This could include ongoing restrictions or consent in respect of current or former employers or business arrangements.

Capacity

You may only speak at an InterAxS event in your own personal capacity, or that of your company or employer, with their consent where necessary.

In particular, you do not have authority to represent InterAxS and are not an employee of InterAxS.

Regulated Activity

You will not give investment advice or recommendations, buy, sell or otherwise deal in securities, or make arrangements to deal in securities, as part of any InterAxS event.

Such activity may require regulatory approval and/or permission, which InterAxS does not have and nor do we purport to have.

Conducting regulated activity while participating in an InterAxS event is strictly prohibited.

Conflicts

If at any time, before, during or after an InterAxS event, you become aware or should reasonably have known of a conflict of interest, you must immediately inform us so that we can manage that conflict of interest or potentially discontinue your participation in the InterAxS event.

Failure to disclose and then prevent or manage conflicts of interest is strictly prohibited.

Confidentiality

At no point, should you solicit or disclose confidential, inside or proprietary information of any kind, whether defined by contract, policy, regulation, legal, fiduciary or other means.

This includes information related to public or private securities and related products, governmental activity, current or former employers or business arrangements.

It includes confidential business strategy, accounting, results of research and development, and legal advice.

It also includes individual names, client lists, business arrangements, contractual terms, projects, pending legal or regulatory action.

Breaches of confidentiality are strictly prohibited.

Market Abuse

If you give or receive confidential and/or inside information during the course of an InterAxS event, and/or deal or recommend others to deal based on that information, you may have committed market abuse, as defined by the Market Abuse Regulation.

Such activity would be a breach of regulation and/or potentially a criminal offence and is strictly prohibited.

Anti-Bribery & Corruption

You must adhere to relevant Anti-Bribery and Corruption laws and regulations, for example but not limited to the UK Bribery Act 2010.

In particular, you must not accept, offer, promise, or pay any money, gift or anything of value to anyone for the purposes of influencing governmental or business decisions.

Such activity is strictly prohibited.

Intellectual Property

With the exception of your own content, you must not retain, or re-use content presented at InterAxS events for your own commercial purposes, unless previously agreed with InterAxs.

These materials are the property of InterAxS and/or other attendees / contributors at InterAxS events.

Misuse of InterAxS or other third-party intellectual property is strictly prohibited.