Compliance Framework

Growth Insights Limiteddocuments expert screening, pre-call attestations, information restrictions, monitoring and audit retention. Review the controls against your firm's policies before engaging. The framework addresses applicable data protection and securities requirements.

Entity
Growth Insights Limited
Jurisdiction
Hong Kong SAR
Liability Cover
US$10M
Audit Trail
7 years
Liability Cover
US$10M
professional indemnity
Audit Trail
7yr
retention period
Exclusion List
2,000+
public-company insiders
Cool-Off Period
6mo
since expert's last role
01/

Legal Framework

Jurisdiction & insurance

Growth Insights Limited operates under the Hong Kong Personal Data (Privacy) Ordinance (PDPO) and maintains compliance with international data protection standards including the EU General Data Protection Regulation (GDPR) and UK GDPR for clients in those jurisdictions.

We maintain professional liability insurance of US$10 million. Terms of service align with international expert network standards, including the European Securities and Markets Authority (ESMA) and the Hong Kong Securities and Futures Commission (SFC) guidelines.

Regular third-party audits ensure ongoing adherence to all applicable frameworks.

02/

Expert Agreements

MSA & per-call attestation

Experts sign our Master Services Agreement before first engagement. Each call requires fresh attestation of compliance. Experts confirm no material non-public information will be shared. Violations result in permanent removal from the network.

03/

Client Protocols

Integration & audit trail

We integrate with client compliance systems. Pre-call questionnaires capture restrictions. Post-call attestations document compliance. Full audit trail maintained for 7 years.

04/

Information Barriers

Chinese walls & compartmentalisation

Chinese walls separate project teams. Experts cannot see client identities. Clients receive anonymised expert details. Project information stays compartmentalised at all times.

05/

Expert Vetting

6-month cool-off & exclusion list

Review FieldSignal's controls against your firm's research policies. Experts must be at least 6 months removed from any company they discuss, unless otherwise cleared. Calls include compliance warnings and real-time monitoring. Transcripts undergo legal review before client delivery.

We maintain an exclusion list of 2,000+ public-company insiders. Automated screening flags potential conflicts; manual review catches edge cases. When in doubt, we exclude the expert.

06/

Compliance Enquiries

Get in touch

Questions about our compliance framework, or specific requirements for your firm's compliance team to clear engagements with us? Reach out directly:

Email
miles@fieldsignalhq.com
Entity
Growth Insights Limited
Jurisdiction
Hong Kong SAR

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