AML-related vendor diligence should match your firm's actual obligations, jurisdictions and risk profile. A research provider can support documented recruitment and payment arrangements. It does not replace your firm's AML programme or determine which regulations apply to you.
FieldSignal's role: a scoped interview project your compliance team can review. Agree participant criteria, restricted topics and records before recruitment. See research options and pricing.
Confirm the rules that apply to your firm
In the United States, FinCEN delayed the effective date of its investment-adviser AML rule to January 1, 2028. The rule concerns covered registered investment advisers and exempt reporting advisers. See FinCEN's final-rule announcement.
That date does not resolve every firm's obligations. Other rules, jurisdictions, counterparties and contractual requirements can matter. Your CCO and qualified advisers should determine the current requirements for your entity and activities.
Avoid treating a vendor's marketing claim as a legal conclusion. Ask what the provider actually does, which records it can supply and how exceptions are escalated.
Why research-vendor diligence matters
Expert research involves recruitment, participant payments and the handling of project information. A buyer needs to understand those arrangements before commissioning work.
Relevant questions include the provider's contracting entity, payment processes and use of subcontractors. A cross-border project may need additional review of participant location and compensation. The right level of diligence depends on your firm's risk assessment.
This work is distinct from the interview's substantive compliance controls. Conflict checks and restrictions on confidential information do not establish that an entire AML programme is sufficient.
What to ask a research provider
Use a written vendor-diligence checklist. Ask for evidence against the requirements your team identifies:
- Entity information. Who contracts with your firm and receives payment?
- Service scope. What recruitment, interviewing and analysis will the provider perform?
- Payment arrangements. How are participant terms agreed and payment instructions verified?
- Subcontractors. Who else may recruit participants or handle project information?
- Project restrictions. How will your approved countries, participant criteria and prohibited topics be communicated?
- Records. Which engagement, screening and payment records can your team review?
- Escalation. Who handles a questionable participant, changed payment instruction or other exception?
- Retention. What records are retained, for how long and under what access restrictions?
These are diligence questions. Do not assume a provider offers every process until the scope and documentation confirm it.
Compare evidence rather than labels
A large network, marketplace and boutique research firm can have different operating models. Size alone does not establish the adequacy of a provider's controls.
Compare written responses and supporting documents. Identify which responsibilities remain with your team. Ask your compliance function to resolve gaps before project kickoff.
A price comparison should also use the actual service scope. Do not assume that every established network requires an annual retainer or minimum spend.
Where FieldSignal fits
FieldSignal offers scoped expert interviews and research projects. Buyers can define participant criteria, topics and outputs before recruitment. Its senior team can own the research workstream specified in the brief.
For an approved project, agree relevant recruitment, interview design, reviewed transcripts and synthesis in writing. Ask which supporting records FieldSignal can provide for your vendor review. Review its compliance approach against your internal requirements.
FieldSignal publishes call rates and research packages. Compare current written proposals for the same research scope. Confirm each provider’s charges, included services and any commitment directly. Transparent client pricing helps your team budget the project. It does not establish AML compliance or disclose an expert's individual compensation.
Document the decision
Record the approved scope, relevant vendor information and any unresolved restrictions. Keep the internal approval and escalation contacts with the project file.
If the participant geography, payment arrangement or project scope changes, ask your compliance team whether the original approval still applies. Keep the research brief and legal responsibilities clear.
The reason to choose FieldSignal is a concrete, reviewable research project: relevant participants, senior ownership and agreed outputs. Your firm's compliance assessment remains a separate responsibility.
Request a scoped FieldSignal research quote. Share your research questions, participant criteria and vendor-review requirements.