Mosaic Research Management - Pre-Consultation Compliance Questionnaire


All Mosaic clients require this basic questionnaire be completed prior to each consultation, to avoid potential conflicts. Thank you for taking the time to complete it.

Employment History

15. MRM clients are investment managers that invest long and short in, among other things, publicly-traded securities of companies. As such, you must confirm your understanding and agreement to the items below:

(i) Please confirm that you are authorized to discuss the information you are being asked to provide to the MRM client, and that if you are not authorized to discuss an item, you agree to decline to provide that information.  For example, if you are asked about generalized trend information relating to your employer, you will provide that information only if you are authorized to do so.

(ii) If you are currently employed, please confirm that you have the consent of your employer to participate in consultations through MRM. 

(iii) Please confirm that you understand that the MRM client is not looking to receive material non-public information arising, directly or indirectly, from any person with a non-disclosure obligation, or confidential information.

(iv) Please confirm that you understand that MRM clients may decide to use any or all information provided by you in the decision-making process to purchase and sell securities.

(v) Please confirm that you understand that you may be required to re-affirm your understanding verbally prior to any consultation, and that a member of the MRM client's Compliance department may monitor the call.

(vi) You attest that all communication you have with MRM Clients, to whom you are first introduced by MRM, will be initiated by either MRM or the MRM Client (so as not to breach any restrictions MRM Clients may have on inbound communications from industry experts).