In light of the recent extreme volatility in the stock of GameStop and other companies that has been attributed to the activities of participants in an online forum, we would like to remind everyone of our policies and procedures in the following areas:
TLG Advisors owes a best interest duty to its clients, which requires, among other things, that we and you exercise due care in managing client investments and portfolios. This includes taking appropriate steps to manage investment risk in accordance with each client’s investment objectives and guidelines.
TLG Advisors only permits the use of approved messaging platforms for business use. This includes discussion of the securities industry even if not in the capacity of your job. Currently the only approved platforms are your archived email and approved social media platforms (LinkedIn, Facebook or Twitter) as long as the proper archiving is configured.
You are prohibited from using social media, public internet forums, personal email or other unapproved messaging platforms to discuss anything related to securities.
You are prohibited from engaging in any form of market manipulation or any activity that could be perceived as such by FINRA, the SEC or other regulatory bodies. This includes dissemination of information you know or suspect to be false or misleading with the intent to influence the price of one or more stocks or other securities products.
TLG Advisors regularly monitors trading in employee, rep and customer accounts for compliance with our policies and procedures, and may request a halt to any trading activities that may appear to be market manipulation.
If you have any questions, please reach out to our Compliance Team at (303) 797-9080 x1600 or email email@example.com.