Network Protocols

Integrity, Impact, Quality.

We are here to create a safe and vibrant space for our members, our employees, and all attendees of our conferences. To ensure this, we ask that IR Global members adopt high standards of professionalism at all times.

This includes consistently treating IR Global members and employees with respect and displaying appropriate, professional behaviour.

Behaviours or actions (verbal or physical) that make members of the network and IR Global employees feel uncomfortable, intimidated, or offended in any way will not be tolerated.

This may include using offensive or suggestive language; being aggressive; inappropriate conduct; and being disrespectful to members, IR Global employees, event attendees, speakers, and hosts. It is of paramount importance that IR Global promotes trust throughout our membership base.

Membership Term – 12 Months

Every membership has a term of 12 months. This is done as a safety measure for both the member and IR Global. A small percentage of members decide to leave IR Global and not renew, and some members are not renewed by IR Global if we decide they are not a suitable fit for the network. This is done for a variety of reasons and on a case-by-case basis.

No firm or member is automatically renewed and an agreement on both sides must be in place first before any membership renewal is confirmed.

IR Global reserve the right to terminate your membership early if you do not act appropriately during your 12-month term. We will decide at our absolute discretion whether a partial refund of membership fees is appropriate in the circumstances.

We believe this approach is fair and reasonable to both parties.

Introduced Opportunities

Our members will not feel comfortable referring matters within the IR Global group if they have any concern that the member to whom a matter is referred may seek to exclude or bypass the referring member to directly provide services which were to be provided by the referring member. IR Global takes a dim view of members trying to undermine or bypass the interests of referring members in this way, and such discourteous behaviour would constitute grounds either for not renewing membership or for terminating the membership.

Recruitment

Our goal is to promote trust throughout our membership base and ensure our members can network in harmony without any risk of having their partners, Rising Stars and colleagues recruited by other member firms. This does not mean people are unable to move between members, but where this is contemplated, we do expect it to happen with courtesy and respect and, preferably, you reach out to IR Global to disclose your intentions so we can transparently give you our thoughts on how this could impact your membership. If you do recruit from another member firm without consideration of both parties IR Global membership and how this might be affected, then you are at risk of having your membership terminated.

If you would like to recruit someone who is at another member firm, we suggest you notify us before doing so. You can then hear the views directly from IR Global Senior Management about how this will impact the future of your membership if not dealt with correctly and respectfully.

We value our members, the connections they make, and we will not allow an environment that becomes risky for our members to network in, or which threatens their ability to collaborate with ease.

Social Media

If you feel another member has posted something that you find personally offensive, please message them privately to address your concerns, or remove them from your contacts.

Under no circumstances should personal attacks be made against another member on social media, and IR Global’s name or brand should not be used in political or personal posts to justify a position or point of view that any other IR Global members may find offensive.

Reporting and Documentation

If IR Global members or IR Global employees feel they have experienced unsatisfactory behaviour from another member of the network or IR employees, then we would like you to:

a. Speak with those involved directly about the situation and try and resolve this professionally. We ask that you report this to one of our Senior Management Team (Thomas, Ross, Rachel & Rebecca), so we are aware and IR Global can record the incident for future reference, if necessary.

b. Once this has been brought to our attention, we will discuss this with you and, if possible, recommend a resolution or potential way forward. If you want your conversation to remain confidential, then please make sure this is raised with us. We will either handle this directly with the individual/s involved or proceed to point c.

c. If you feel you are unable to resolve the situation, then we will seek the support of IR Global Senior Management and our Ethics committee.

The IR Global Ethics committee are available to support and offer advice to IR Global members and employees.

Course of Action

If IR Global become aware of a member whose behaviours do not live up to our high standards of professionalism, then this will be raised with our Senior Management team and our Ethics Committee, if required. The individual/s in question will usually remain anonymous to prevent any bias; and we will discuss whether this individual needs to be:

• Spoken to by our Senior Management team, informed of their misconduct and asked to reflect and amend their behaviour/actions. The individual can take responsibility for their actions before it is taken further.
• Suspended from the group or events to allow time to reflect on their misconduct – IR Global Management and our Ethics Committee will then decide on whether a longer-term solution is required.

All decisions made by IR Global Senior Management will be final.

Referral Protocols

The relationship between referrer and recipient is to be one of transparency and respect at all times. Please see below protocol for both parties and reporting procedures.

Referrer

i. The introductory email, or the follow up email should contain sufficient information so that the recipient can scope out the work and be in a position to provide a reasonable estimate of anticipated costs and disbursements. If the matter is more urgent and an immediate response is required, then the initial e mail should indicate this in the subject box.

ii. Introductory email, or follow up email, to contain particulars of client that would enable recipient to clearly identify the client and which contains other relevant general information known to the referrer regarding the aptitude of the client and its capacity to pay professional fees. Some jurisdictions, for some transactions, may require certificates of incorporation and certified copies of passport or drivers licences for individuals and directors etc. to properly identify the client.

iii. If a referrer sends out a proposal to more than one professional provider on the same matter, this is to be disclosed to each recipient.

iv. Referrer and recipient should agree on applicable jurisdiction for resolution of disputes between them, usually the jurisdiction of the party carrying out the work.

v. Please inform the IR Global head office whenever a referral has been made, so this can be recorded and used in statistical data. A press release will be available upon completion. To note, any press releases are always subject to the client’s prior approval.

Recipient

i. 30 minutes complimentary consultation should be available to all fellow members and clients upon request.

ii. Immediate confirmation of receipt needs to be provided with a substantive response within two business days or as is reasonably possible and as is appropriate.

iii. The recipient to advise honestly and openly about his/her credentials, experience and capacity to do the required work.

iv. If he/she is not in a position to do the work, the recipient to recommend someone who could do the work, if possible. Any response must be sent with 4 working dates of the original request.

v. Provide a preliminary estimate of fees and other costs.

vi. Recipient should advise level of PI insurance and liability caps (if any).

vii. Issue a standard letter of engagement when an agreement has been made and agree on client’s requirements for status reporting. The letter must clearly state the applicable jurisdiction for the resolution of disputes and clearly state terms of payment and liability.

viii. Provide regular feedback / reporting during work carried out and at the end of the instruction.

ix. Submit billing statements for work performed, according to client’s requirements.

x. Please inform the IR Global head office whenever a referral has been received, so this can be recorded and used in statistical data. A press release will be available upon completion.

xi. Referrer and recipient should agree on applicable jurisdiction for resolution of disputes between them, usually the jurisdiction of the party carrying out the work.

xiii – Members of IR Global need to feel comfortable that they can refer work to a member in another jurisdiction without a risk that recipient will attempt to solicit business directly from that client without the referring member’s express consent. Therefore, unless the recipient can show that their firm has done business with the relevant client in the previous twelve months or has been in active negotiations to secure work from that client over the previous six-month period independently of any involvement of the referring member, any unsolicited approach to that client by the referrer’s firm in the twelve months after the date on which the referred services were completed, will be grounds for immediate expulsion from IR Global.

Reporting Procedure

In the unusual situation that either party does not adhere to the above protocol or there are other issues you are unhappy about, please inform the IR Global Senior Management Team Ross Nicholls ([email protected]), Tom Wheeler ([email protected]), Rachel Finch ([email protected]) or Rebecca Benbow ([email protected]). The group will launch an immediate investigation into the incident and speak with both firms involved.

IR Global operates a two strike policy as some issues are not straightforward

and difficult to determine fault. If we agree with complaint a warning shall be given and if a second follows, the firm shall be removed from the network. Every two years strikes will be reset, however will also be taken into consideration when reviewing membership renewals.

For gross misconduct, IR Global refers the right to immediately expel the member in question.

IR Global Ethics Committee

In individual cases, IR Global Senior Management will consult the IR Global Ethics Committee. The Ethics Committee play an important role within the network in ensuring the highest ethical standards and the continued development of IR Global’s member culture. The committee is made up of long-term members with a wealth of knowledge and experience who have IR Global and its membership base best interests at heart.

Membership Protocol

Members have many different reasons for joining IR Global, from wanting to increase their international presence to gaining more inbound business, to having trusted referral partners for outbound needs. Our role is to speak with each member to identify core objectives and work closely alongside them to make this happen. In addition, our focus is ensuring members are active and they also bring value to the group. The below are guidelines, however, these are important indicators for assessing membership renewals and whether each firm retains their status in the group:

i. You have a quarterly review call with your Client Manager or Business Development Manager to discuss your membership, objectives and how we can work together more closely.

ii. Appoint someone in your office as a ‘day to day’ point of contact for the membership (if you do not have the time).

iii. Utilise IR Global branding and materials on your website, email signature and business card.

iv. Attend IR Global networking events where possible. This is the best way to build trusted relationships which lead to referrals.

v. Access and utilise the IR Global online members area. Via the members area you can upload referrals, deal teasers, access our member travel calendar and resources which are invaluable to your membership.

vi. Complete relevant member questionnaires. Your responses are used to connect you to those with shared interests.

vii. Input your events and travel dates in the interactive IR Global calendar, enabling you to meet with your colleagues when in another city or jurisdiction.

viii. Have any articles and firm updates sent to your client manager for distribution within both internal and external IR Global networks of contacts.

ix. Share new business opportunities or ideas for collaboration in the members area forum.

x. Connect with IR Global and your fellow members via social media channels. Thus providing you with exposure in different regions.

xi. Be active; the best way to gain referrals is to give them out.

xii. Inform the IR Global head office of all activity. Where relevant we can promote internally raising your firms exposure in the network.

Contact with other members

We understand that you may wish to utilise the IR Global membership list to share news about your firm and the services you offer. However, we request that you take the following into consideration;

i. Do not include other members on your newsletters or mailing lists without prior consent.

ii. We recommend personal contact rather than mass mail distribution, so please tailor your content to the firm you are contacting.

iii. Consider whether your services are relevant to the firm you are approaching iv. (i.e.: sending IP legislative updates to a real estate boutique isn’t the best use of your time).

v. Ensure you present your firm professionally at all times.

vi. If a recipient requests that you remove them from your mailing list, please do so immediately.