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Compliance

The Tegus Compliance Program

Tegus’s industry-leading compliance program is designed to prevent and detect potential violations of federal securities laws and other relevant laws and regulations. In addition to leveraging industry-standard compliance measures as our baseline protocols, we provide leading edge compliance by evolving with the ever-changing regulatory legal landscape.

Our compliance program is powered by a team of 30+ compliance professionals and led by our General Counsel and Chief Compliance Officer, a 13+ year veteran of the SEC’s Division of Enforcement.

The Tegus Compliance Portal

The Tegus Compliance Portal offers compliance officers a dedicated in-platform tool where they can manage firm-specific compliance protocols and access real-time reports of their team’s Tegus activity across our call and transcript offerings.

Transcripts on Tegus

The Tegus platform includes publicly available SEC filings, earnings call transcripts, and compliance-approved 1:1 expert call transcripts between industry experts and Tegus clients. All Tegus platform content meets or exceeds industry compliance standards. Every transcript undergoes an intensive, multi-layered compliance review process to identify potential material nonpublic information or otherwise confidential information, including a proprietary AI + human-in-the-loop process involving our highly-trained, dedicated compliance specialists.

Call Services

Tegus’ Call Services are underpinned by industry-leading compliance policies and procedures, including fully customizable processes to empower your compliance team to integrate its expert network call policies and procedures with ours.

  • Automated compliance processes: The Tegus system automates industry-standard compliance practices for expert calls. Our baseline compliance protocols are designed with our customers and the latest regulatory landscape in mind, so that you can spend your time on more nuanced compliance questions.
  • Expert screening: Every expert is screened prior to each Tegus expert call to ensure up-to-date  public company affiliations, check for confidentiality agreements that might affect the consultation, and confirm the expert’s key background information, including any potentially negative regulatory history.
  • Compliance training: Before every Tegus call, experts must complete our compliance onboarding module that explains what they may and may not discuss on the consultation and educates them on relevant laws and regulations.
  • Custom protocols and chaperoning: Compliance Officers can add their own screening questions, require approval of each expert before a call takes place, and establish a silent dial-in for chaperoning purposes.

Testimonials

"It takes me roughly 3 hours to go through my entire process of an expert call - reaching out to my account manager, picking experts, scheduling, coming up with questions, and going through an hour call. Tegus gets me the same information in 20 minutes."

Alex Wolf
Managing Director, IGSB
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"Partnering with Tegus is a no-brainer for us. In the time it typically takes to have a direct conversation with one investor, we can reach (and measure) thousands through the platform. Investors clearly love Tegus and it's core to our strategy to engage with investors where they are."

Jason Rechel, CFA
VP of Investor Relations and Corporate Development, SPROUT SOCIAL
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“We have worked with almost every data service. Tegus is by far the strongest investment research resource we have, no question.”

Nate Singer
Managing Partner, Mission Holdings
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"If I started a new fund tomorrow, I would buy Capital IQ and then I would buy Tegus."

Campbell Wilson
Founder & PM, Old Well Partners
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"If I started a new fund tomorrow, I would buy Capital IQ and then I would buy Tegus."

FOUNDER & PORTFOLIO Manager, OLD WELL PARTNERS
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“Tegus acts as a multiplier to our research. The service team finds exceptional experts. And the platform of transcripts is incredible differentiated value.”

Sanjay Venkat
Managing Partner, Jeneq
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“We have worked with almost every data service. Tegus is by far the strongest investment research resource we have, no question.”

Nate Singer
Managing Partner, Mission Holdings
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"Tegus is game changing because it accelerates our qualitative understanding and increases the velocity of our idea generation."

Wang Liao
Director, Asturias Capital
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"Tegus didn’t just change the way I think about researching stocks. It rewrote the way I think about all my relationships with products, services and people."

Thomas McGannon
Chief Investment Officer, LLOG Exploration
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"Tegus has created a product that revolutionizes the primary research industry. As customers, we see first-hand the incredible efficiencies and valuable insights driven by the platform."

Daniel Och
Founder and CEO of Willoughby Capital
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