Compliance is essential to ensuring that our clients & advisors are interacting within a safe operating environment. At Phoenix Trade, we take pride in outpacing our competitors and continuously strive to exceed industry standards. Built on cutting-edge blockchain technology, our compliance framework leverages DLT (Digital Ledger Technology) that underpins our entire platform. Combining years of sector experience with tomorrow’s technology, Phoenix Trade provides a truly robust and indisputable framework that Compliance Officers everywhere can appreciate. For more information, please email us at Info@PhoenixTrade.co for additional documentation.

Advisors

When tapped for a project, we require all advisors to adhere to our Terms & Conditions setting out standard conduct when consulting with clients. Advisors are also required to have completed our compliance training on an annual basis. In order to be eligible, advisors agree that they:

• Have reviewed any and all agreements/policies that permit them to join Bridger’s marketplace of Advisors

• Will only participate to consult on any project that do NOT violate those agreements or any obligations they may have with third parties

• Will NOT provide any confidential material non-public information to clients

• Will only participate on projects that do NOT represent a conflict of interest

• Will keep Phoenix Trade clients identity, their interests, and information confidential

• Will immediately terminate any engagement or project that enters into matters they cannot discuss

For more information regarding Advisor Terms & Conditions, please find them here.

Clients

At Phoenix Trade, we understand that compliance requirements for every client differs. For those that are compliance-focused, we provide hands-on options and technology integrations that allow for any custom protocols an organization may require. Our compliance team is able to offer, but not limited to:

• Monthly, Quarterly, or ad-hoc summaries of engagements

• Pre-approvals for any pending requested engagements

• Adherence to any DNC (do-not-call) lists at client’s request

• Client chaperoning on any engagement for audit purposes & best practices

For more information regarding our compliance framework, please contact Info@PhoenixTrade.co

Employers

We at Phoenix Trade understand that employees of companies must follow different guidelines than that of our independent consultants. We prohibit any engagements between an employed advisor and client where the client is requesting information regarding the advisor’s current employer. Furthermore, if an advisor is tapped for a project where they are asked to engage on a long-term project that may require written, or in-depth analyses, we require written confirmation from the advisor’s employer allowing consent. If you are an employer that has employees who participate in similar consultative work, feel free to email us any policies you may have regarding this. We are always looking for room to improve our compliance framework and would be happy to discuss further if needed. Please email Info@PhoenixTrade.co for more information.