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Dear Friend:

If you're part of a successful business, chances are you rely on networks -- social, extracurricular, educational, or professional -- to help you expand your reach and make well-informed decisions.

But how well do you know your networks?

A quick review of this year's headlines, regulatory actions and hedge fund woes remind us that networks can be as risky as they are advantageous. In fact, as we've addressed on our blog, many of the recent insider trading cases brought by the SEC and Department of Justice focus on financial industry professionals who acquired material, non-public information via network connections.

It's important to consider these risks now that our economy is starting to thaw and investment activity is picking up. New capital, new investment ideas and new hires will lead to network expansion -- and with that expansion, a renewed risk that senior managers or their employees might find themselves communicating with people who aren't who they say they are, challenge FCPA limits or are willing to engage in fraudulent activities.

Some questions you might ask to evaluate your organization's potential exposure to networking risk include:

* Can you monitor your networks and still keep a competitive edge?
* Can you avoid getting improper information while doing thorough research?
* Are your employees and consultants properly vetted? Are they trained in compliance procedures?
* Are there gaps in your own compliance programs that don't account for relationship networks?
* Can you ensure that your compliance and supervisory procedures remain relevant as regulatory standards evolve in the U.S. and abroad?

Proper due diligence and planning are critical if you're going to keep networking risks at bay when you make investment decisions, vet new business partners or hire new employees.

We're looking closely at these issues and plan to make some interesting, related announcements in
the coming weeks. Please stay tuned and, of course, (http://www.k2globalconsulting.com/contact)?utm_source=K2+Global+Consulting%2C+LLC+List&utm_campaign=656316fede-K2_March_Newsletter2_24_2011&utm_medium=email get it touch if
you'd like our help in addressing your (http://www.k2globalconsulting.com/contact)?utm_source=K2+Global+Consulting%2C+LLC+List&utm_campaign=656316fede-K2_March_Newsletter2_24_2011&utm_medium=email trade networks or (http://www.k2globalconsulting.com/contact)?utm_source=K2+Global+Consulting%2C+LLC+List&utm_campaign=656316fede-K2_March_Newsletter2_24_2011&utm_medium=email compliance
programs.
.

Best,

Jeremy Kroll
CEO and Co-Founder
K2 Global Consulting N.A., LLC
www.k2global.net


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