An introduction into the general practice of Trade Area Marketing Group with a more comprehensive look at our compliance practice

Introducing Trade Area Marketing Group A lens into our company with a focus on our compliance practice and its importance in today’s business ecology Joe Dell Aquila| jfdellq@tradeareamarketing.com| 203.322.3642 Harry Falber| hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com CT Business ID: 0913839 |LLC filed 9:26:2007 EIN:26-0886256 A Veteran-Owned Company
Introducing Trade Area Marketing Group A lens into our company with a focus on our compliance practice and its importance ...
Who we are !   Trade Area Marketing Group is a Connecticut based, global consulting practice with offices in Hartford, Stamford, Zaragoza, Spain, and Singapore !   Founded by Harry Falber in 2001, TAMG merged with Continental Consulting Group of Stamford, CT in 2011. CCG was founded by his colleague from Polaroid Corporation and long-time friend, and veteran, Joe Dell’ Aquila, and focused on searches for new ad agencies for client companies, agency compensation negotiations, private equity merger and acquisition of above and below the line marcomm agencies and advising ad agencies on merger, sale, and valuation !   In 2013, recognizing the ever-increasing need for compliance guidance and training at companies of all sizes and in all industries, domestically and internationally, TAMG formed a partnership with Harry’s colleague from Smith & Wesson Holding Corporation, Jon Rydberg – a respected and acclaimed compliance expert whom Harry had formed a close bond with while consulting to SWHC !   We have recently formed Trade Area Healthcare that focuses on many parts of the global health care industry and healthcare information systems with skills in pharmaceuticals, nutraceuticals, medical and hospital equipment, and emerging technologies Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 2
Who we are        Trade Area Marketing Group is a Connecticut based, global consulting practice with  of   ces in Hartford...
What we do !   We provide hands-on assistance to senior management and all levels of their organizations including the design and implementation of quick-tolaunch response strategies !   We develop tailored, critical compliance training for single businesses or across multiple business units to insure all employees, at all levels understand the importance of their ethical commitment to conduct business, including sales, R&D, and manufacturing standards and practices within proper boundaries and their legal duties and commitment to global standards and practices !   We put in place Customs and Point of Origin C‐TPAT programs protecting your business and our borders at place of import origination !   We conduct audits to satisfy FCPA, BA2010 23c, ITAR, ATF, EAR, SOX and other critical anti-corruption components important in conducting domestic and international trade to insure there is no gap between self-audit and government audit Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 3
What we do        We provide hands-on assistance to senior management and all levels of  their organizations including the...
What we do !   We implement growth and turn-around solutions, as well as provide tactical support, in-country and on-site, for a broad range of sales, marketing, supply, innovation, and general management initiatives working with businesses, distribution channels, local, regional and international government officials, and non-governmental organizations as needed !   We work on urgent development and implementation of strategic alternatives when unforeseen competitive situations arise, which often include creating quicklyneeded advertising, promotion, sales training, and sales programs !   We conduct new ad agency searches, negotiate fair-to-both-party compensation agreements, conduct audits of and provide recommendations for advertising and promotion budgets to help reduce, contain, or repurpose marcomm expenses !   We work with Private Equity firms and ad agency management who are interested in marcomm portfolio expansion, ad agency sales, mergers or acquisitions as well as conduct agency valuations Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 4
What we do        We implement growth and turn-around solutions, as well as provide tactical  support, in-country and on-s...
What we do Strategic Action Planning & Solution Implementation §  Rapid urgent response reaction programs §  Interim marketing management §  Distributor Plans, §  §  §  §  New Product Introductions and design §  Brand/product turn- around §  Brand extension studies §  Competitive landscape analysis §  Bridge creative work and execution §  Outsourced special talent teams §  Sales incentive & training programs/ toolkits §  Advertiser needs §  FCPA §  BA 2010 23c §  ITAR | ATF | C‐TPAT Selection, & Management §  Incubation lab set up New Advertising Agency Searches Compliance Training & Initiatives* §  §  §  evaluation and service recommendations Compliance Transformation Compliance Technology Import | Export Compliance Customized, company-wide ethics & training §  On-line §  Cohort groups §  Responsibility specific §  C-suite Cultural Transformation Supplier | Partner Audit Safety & Security §  Integrated marketing searches (Digital, Branding, Licensing, Sales Promotion, Event Marketing, PR) §  Adv/Branding/Licensing/ Media agency searches and evaluations §  Client and agency compensation issues §  Corporate marketing services structure and process *Compliance practice is! co-led, and implemented jointly with Orchid Advisors’ CEO, Jon Rydberg who holds a secret clearance and previously was with the Department of Homeland Security (DHS) Manufacturing Industry Sector Board and was an Executive Committee Member of the DHS Manufacturing Supply Chain Team, APICS, Smith & Wesson and Ernst & Young! Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 §  360 cross evaluations §  Relationship mediation Marketing Expenditure Evaluations & Recommendations §  Agency Audits §  Budget level analysis §  Media Allocation Analysis §  Media Efficiency Delivery Audits §  Agency Staffing to Level of Service Analysis §  Agency Compensation Review, Analysis & Program Design §  Analysis of Promotion program costs and return on investment §  Analysis of DRTV DRR and other Direct Response investments 5 CT Business ID: 0913839 |LLC filed 9:26:2007 Veteran-owned EIN:26-0886256
What we do  Strategic Action Planning   Solution Implementation          Rapid urgent response  reaction programs         ...
What we do - Compliance We deliver a tailored, business specific compliance ecological system to a client’s employee community to insure it is meaningful, manageable, morally understandable, and relevant to each person’s job, at every level Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 6
What we do - Compliance   We deliver a tailored, business speci   c compliance ecological system to a client   s employee ...
We believe effective compliance is what’s important to the continuity, growth, health and unassailable ethical integrity of a company and its community !   A well educated workforce – well educated to what’s important to integrity in business whether in sales, R&D, manufacturing, communications, or relationships !   Corporate ethics that are believable and inviolate !   Corporate leaders that are ethical and stand for ethical practices no matter what the outcome !   Committed corporate governance that will never ”look the other way” !   Compliance ownership that is embedded culturally in the organization from the mailroom to the boardroom !   Technology-aided processes via portals or dedicated tablets and kiosks !   Information processing that is constantly updated, disseminated, retaught, and retested to insure retention and respect for standards !   Communicate so that all employees understand that the company is a community, and while each person may have different compliance ownership, the adherence to her or his goals are no less or more important than any other’s adherence to their compliance standards Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 7
We believe effective compliance is what   s important to the continuity, growth, health and unassailable ethical integrity...
What our TAMG compliance system will deliver and how we deliver it !   Before we start to develop a tailored program based on your condition, we audit. Following the audit our clients receive a written road map beginning with what our audit uncovered, and what we believe will be necessary to deliver a fully tested, operational, functional, and acceptable program to regulatory agencies for self and governmental auditing standards !   Compliance strategy exceeding Federal, State, and International requirements !   Employee cohort group as well as e-tools and associated training to educate and embed ethically responsible behavior at all levels insuring the entire organization always acts in a compliant manner and is in compliance !   Technology and software logic to statistically drive repeatability of execution into your partner and customer transactions !   Real-time visual aids and management tools to proactively manage your compliance programs and customs programs Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 8
What our TAMG compliance system will deliver and how we deliver it         Before we start to develop a tailored program b...
Before you have a compelling compliance program, you need an effective framework Our framework is built on a four-step process !   We map the federal, state, international regulatory environment you live and work in; We articulate a company compliance vision to integrate with your business strategy; We design a federal, state, and international compliance relationship strategy to complement both you and the regulatory agencies you interface with !   We redefine and re-express your company’s cultural norms, policies, and expectations; We formalize roles, establish ownership, build community standards, set and define personal, cohort, business unit, and partner quantifiable expectations; !   We integrate ERP, CRM, advanced and legacy technologies and put in place process and internal controls while developing dedicated terminology that is conversational not confrontational, and definitely not industry speak and jargon !   We don’t walk away. We on-board and monitor the new culture with audits, industry and governmental benchmarking, and analytics. We help monitor and govern with meaningful dashboards at all levels. And we keep you abreast of industry and global trends - both legal and political - insuring the community is always in sync and is aware of what is taking place in the world – both good and bad to drive home the importance of your effort to build a community of compliance for the 21st century Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 9
Before you have a compelling compliance program, you need an effective framework  Our framework is built on a four-step pr...
Each system will have a clearly defined compliance program strategy based on situation as well as needs !   Conditions that impact on the strategy include: Current investigations or inspections and status Past investigations, inspections and outcomes Locations of past employees for above if still not with organization State of your business, products, suppliers, and distribution network Depth of knowledge across company and business partners with respect to: U.S. Section 8B2.1 'Effective Compliance & Ethics Program' requirements !   Relationship with regulators and investigators !   State of mind of your internal and external “community” ! ! ! ! !           !   The initial strategy is critical to successful transformation: !   We lead implementation of a full-scale compliance program that meets Federal, state, and Global, if necessary, expectations, keeping your doors open and your business operational !   We create an action plan for engaging Federal and State regulators and their global partners so they see a fully transparent and committed compliance and ethics program devoid of any perceived “wiggle room” by management Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 10
Each system will have a clearly de   ned compliance program strategy based on situation as well as needs        Conditions...
Establishing and embedding a new culture, and training for a new ethical paradigm !   What drives your business will dictate how we define the new cultural roots (highly regulated, consumer focused, business-to-business, direct-to-consumer, e-commerce, healthcare, domestic, single operation, multi-national, global procurement and sales, third party business development, three tier system distribution, minimum legal aged consumers, licensed users, legacy trade barriers, significant business comes from markets with low corruption index scores (Transparency.org), manufacturing historically answered to little or no QC oversight. Engineering standards were second to margin and top-line) !   However, new and ironclad ownership of compliance and ethics at all corporate levels are easier to write than instill. We focus on unique rewards and incentives, community conversations, hidden and obvious measurement as well as disciplinary action that is inviolate for every person to insure that your new compliance program and relationship with regulators will not be derailed or worse, your company will be at the receiving end of ever-increasing painful punishment that can destroy careers and companies Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 11
Establishing and embedding a new culture, and training for a new ethical paradigm        What drives your business will di...
Establishing and Embedding a new culture and training for the new ethical paradigm !   We write a playbook that establishes uniform and appropriate expectations, roles, ownership – no role is excused, no division is given a free-pass or Get Out Of Jail Card Free. It doesn’t happen in real life !   Written policies and procedures are delivered and updated as conditions warrant through webbased technology via company or division-wide portals on laptops, desktops, factory floor kiosks, iPads, or other tablets. We are not alarmists, but if there is information from regulators or on competitors, from the DOJ or other countries that our full-time due diligence efforts uncover, we will deliver it and our POV on its impact and suggested strategy within hours of receipt !   Critical conversations that impact groups, for example, engineers, R&D scientists, testing labs, procurement partners, Human Resource departments, third party business developers, marcomm agencies, or three tier distributors are more often than not delivered in cohort groups to gain consensus which we find to be critical. All to often, training in isolation defeats the purpose of building a new ethical community standard !   We build a continuing training environment avoiding typical jargon that defeats the importance of your compliance transformation (i.e. XYZ Compliance University), where patience is our greatest attribute. We do not punish slow learning, we reward the graduate when she or he becomes conversant in what’s important to each phase of study. Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 12
Establishing and Embedding a new culture and training for the new ethical paradigm        We write a playbook that establi...
Compliance Process & Technology Traceability !   Regulators are good listeners. They are even better analysts. We develop sophisticated toolkits with our technology so the process of compliance is traceable by employee, by partner, by customer and while nothing is fail-safe, we embed multiple internal controls to limit risk of non-compliance. And we work with your regulators to get buy-in and removes the latent ambiguity that plagues most company-regulator relationships !   Jon’s team will support your team with ongoing analysis and reporting on all compliance issues throughout the organization and its processes !   If you desire, we will provide your regulator partner with real time data and a high degree of integrity demonstrating your commitment to a new compliance paradigm that constantly evolves as conditions change !   What the Rydberg system gives you, is an environment that links ongoing business change with effective process, systems, and training Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 13
Compliance Process   Technology  Traceability         Regulators are good listeners. They are even better analysts. We dev...
As Compliance Lead, what do you see? What does your CEO and Board see? !   Easy to Understand and real time roll-up | roll-down dashboards giving you almost instantaneous macro as well as micro views of compliance readiness down to the employee or partner level !   A regulatory portal that is populated based on uniform, consistent data !   A news and social media portal that is real-time updated with the latest trending and alert-based information that is critical to your industry, your company, your partners, and the markets you do business in !   Governmental information as soon as it becomes available to us, which more often than not because of our relationships is before it becomes available to the news media or general public !   A true lens into the state of your company’s state of compliance so that errors can be corrected during self-audit and in advance of scheduled or unscheduled regulatory audits Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 14
As Compliance Lead, what do you see  What does your CEO and Board see         Easy to Understand and real time roll-up   r...
These are our direct numbers. We are always available. And we mean always available not just for our clients, but knowing that sometimes bad things happen to good people in good companies, we are just as available to answer questions when the need arises even if you aren’t a client. It’s an ethical standard we live by. Joe Dell’ Aquila Harry Falber Joe Dell’ Aquila | jfdellq@tradeareamarketing.com | 203.322.3642 Harry Falber | hfalber@tradeareamarketing.com | 203.557.4150 www.tradeareamarketing.com | 5 Oak Lane | Weston, CT | 06883 +1 203.322.3642 +1 203.557.4150 15

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These are our direct numbers. We are always available. And we mean always available not just for our clients, but knowing ...