Compliance / Reg FD & MNPI
The same discipline the category runs on.
Every expert call is screened against material non-public information and Regulation FD exposure before it's ever scheduled.
What this includes
Pre-call screening
Experts are checked for MNPI and conflict-of-interest exposure before a topic is even shared with them.
Documented compliance trail
Every screening decision is logged, so there's a clear record if a call is ever questioned.
In-house review
Screening is run by our own compliance team as a standard step in every engagement.
Client-side guardrails
We'll flag topics that need extra care on your side, not just ours.
How it works
01
Topic scoped
Your research team submits the question before any expert sees it.
02
Conflict check run
We screen for current or recent employment, board seats, and known MNPI exposure relevant to the topic.
03
Cleared or declined
Experts with any flag are declined outright for that specific engagement.
04
Logged
The screening decision and rationale are recorded, creating a clear compliance trail.
Questions people ask
What happens if an expert is flagged after a call is already scheduled?
The call is cancelled or rescoped immediately. A scheduling conflict doesn't override a compliance flag.
Do you screen the client side too?
We flag topics that carry higher risk on your side (e.g., you may be in possession of information that changes what's appropriate to ask), but the legal obligation to manage your own MNPI exposure remains yours.