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1、bc,Professional Standards,March 1998,Author: Peter Aman,Contributors: Barbara Bjornson,Laird Reed,Copyright 1998 Bain mechanism for mediation Management - reinforce (actively), interpret, apply, provide incentives/disincentives,Program Description (3 of 4),9,professionalstandards,How through local r
2、esources (Professional Standards Managers coordinated with the Center) worldwide training for all levels role modeling at the team level local communications and marketing coordinated by the center (e.g., intranet) internal/external marketing incentives and disincentives BVU,Program Description (4 o
3、f 4),10,professionalstandards,Agenda,Compliance and Introduction Policies Cases Sources of additional information,11,professionalstandards,Professional Standards Policies,Protecting and sharing client information Competitor data gathering Exclusivity and client conflict Harassment and discrimination
4、 Insider trading General and Expense Policies,12,professionalstandards,client identity client internal data proprietary insights purchased studies (permission may be overarching at case start),presentations proposals back-up information success stories,general insights general developed information
5、publicly available information,Information,Which can and should be shared,Which should be shared once sanitized,Cannot be shared without explicit permission from the client,No confidential or proprietary information (including the clients identity and characteristics of the relationship), provided b
6、y or obtained for, a client may be given to anyone outside the case team. Information which is neither proprietary nor confidential may be shared only with the express approval of a Bain partner on the originating case, and in many cases, the client.,Protecting or the company is a Bain client (and a
7、ppears on Bains Restricted List); or the company is otherwise associated with Bain or a Bain client (and appears on Bains Restricted List) If trading outside the U.S., you are expected to adhere to local laws; however, even if there is no local prohibition on “insider trading”, trading in the stock
8、of a Bain client is not permitted.,Insider Trading - Policy Summary (1 of 2),28,professionalstandards,The “Restricted List” of companies in which employees may not trade is maintained by Local Controllers, Corporate Treasury and possibly the senior Librarian in each local office. If you own a securi
9、ty, you may sell the shares immediately (assuming no issue of insider information) or hold the shares (either in a “blind” trust or until 3 months after you leave Bain) in rare circumstances and only with the approval of the Center, you may be able to sell a security on the Restricted List within a
10、prescribed window The consequences of insider trading violations can be staggering: civil fines up to 3 times the profit gained or loss avoided by the trading criminal fines (no matter how small the profit), of up to $1million liability to those damaged by the trading the appearance of improper cond
11、uct can have a very serious impact on Bains business and financial results sanctions up to and including termination of employment for cause,Insider Trading - Policy Summary (2 of 2),29,professionalstandards,General and Expense Policies,Employees may not violate any criminal or civil laws or regulat
12、ions (federal, state, or local) as part of any work for Bain however, if asked, you must identify yourself as an employee of Bain however, the standards listed above should be applied to each expense reimbursement submission. Travel Related Local Transportation and Meals Telephone Charges Events/Ent
13、ertainment Cases Should you have any questions on the application of the policies and procedures, please call a member of the Time and Expense Group in Finance prior to incurring the cost,Expense Policies,50,Ethics no entertainment or car rental costs are reimbursable,Same as 1.,Same as 1.,Same as 1
14、.,Same as 1.,Same as 1.,Same as 1.,Same as 1.,Same as 1.,Situation,Airfare,Hotel,Meals,Notes,1.,2.,3.,Expense Policies,Travel Related Cases (1 of 4),51,Ethics no entertainment or car rental costs are reimbursable,Situation,Airfare,Hotel,Meals,Notes,4.,5.,6.,Travel Related Cases (2 of 4),Expense Poli
15、cies,52,Ethics reasonable laundry/dry cleaning/valet costs are reimbursable. However, items of clothing purchased when traveling are not reimbursable. This includes replacement of lost or stolen items, as well as clothing purchased as a result of an unexpected trip.,Expense Policies,58,professionalstandards,Agenda,Compliance and Introduction Policies Cases Sources of additional information,
