Pentalpha has positioned itself in the capital markets industry as a third party oversight firm performing governance services for the ultimate benefit of investors and operating parties within the industry. By providing oversight services, the end result of our actions include; (i) participating in the creation and structuring of transactions where PentAlpha’s governance protocols benefit the capital markets industry (ii) providing positive reinforcement through confirmation of adherence to prescribed standards of securitization parties and (iii)observing, reporting, and identifying the root cause of non-compliance to prescribed standards.
We have deliberately positioned our firm to provide this governance in such a manner as to ensure we are viewed as a neutral party with no allegiance to any specific deal party including those who have selected us to be a party to each securitization. In order to do this, we have painstakingly created very clear guidelines and documentation within deal infrastructures to leave as little room for interpretation as possible. Our responsibilities and deliverables are clearly articulated to minimize and interpretational issues that could arise from us performing our contracted governance services.
Over our long history, we have deliberately avoided potential engagements that could tarnish our reputation as being independent. Although this has resulted in having to pass upon, or not being considered for some opportunities, we believe that, in the long run, this has bolstered our reputation among industry participants as a go-to firm for objective governance oversight.
Supporting this philosophy are extensive documents used to internally address non-disclosures, code of ethical conduct, and IT security matters. Internal training and weekly team meetings are also tools used to routinely communicate the organization's philosophy on a routine basis.