MNPI Policy

FieldSignal does not facilitate the disclosure of material non-public information (MNPI). Every expert agreement, every per-call attestation, every monitored discussion is designed to make MNPI sharing impossible — and to leave a clean audit trail proving it.

Cooling-off
6 months minimum
Exclusion list
2,000+ insiders
Monitoring
Real-time on every call
Audit retention
7 years
01/What MNPI means hereDefinition

Material non-public information is any non-public information about a company that a reasonable investor would consider important when deciding whether to buy, sell or hold a security. Earnings ahead of release, undisclosed M&A, regulatory actions, contract wins or losses — these are categorically off-limits.

02/Cooling-off rule6 months minimum

Experts must be at least six months removed from any company they are asked to discuss. The window is measured from the last day of employment, board service or active advisory engagement.

Where a longer window is required by an expert's contractual obligations (NDAs, share-lockups, garden leave), the longer window applies.

03/Pre-call attestationsEvery single call
  • +Expert confirms no active NDAs prevent the discussion
  • +Expert acknowledges they cannot share MNPI
  • +Expert confirms 6-month gap (or longer where required)
  • +Client confirms they are not seeking MNPI
04/Real-time monitoringOn every call

All calls are monitored in real time by a FieldSignal compliance specialist. The moderator can intervene, redirect, or terminate the call if the conversation approaches restricted territory.

Recordings and transcripts are reviewed before delivery. Any segment that touches restricted information is redacted before the client receives the transcript.

05/Exclusion list2,000+ public-company insiders

We maintain an exclusion list of more than 2,000 individuals tied to publicly-listed companies in roles where MNPI exposure is presumed (CEO, CFO, CIO, etc., plus IR and external counsel for the same firms).

When a screening hit appears, the expert is removed from candidate sets for that company. The list is updated weekly from public sources.

06/Audit trail7-year retention

Every call generates an audit record: candidate sourcing log, pre-call attestation, monitor notes, transcript, redaction log, and client delivery confirmation. The full record is retained for seven years and is available to client compliance teams on request.

07/Related Compliance Pages1 suggestions
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LEGAL FRAMEWORK

Growth Insights Limited operates from Hong Kong SAR under the Personal Data (Privacy) Ordinance, and maintains compliance with international data protection standards (GDPR, UK GDPR) for clients in those jurisdictions. Terms align with ESMA and SFC guidelines.

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COMPLIANCE OVERVIEW

The top-level compliance framework page — covering all of the above plus client protocols, expert vetting and insurance.

Compliance question? Direct line.

Compliance enquiries answered same-day, Mon–Fri, 08:00–20:00 GMT.
Contact Compliance
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