Compliance & Governance
Compliance Framework
Transcript IQ operates within a multi-layer compliance framework covering expert vetting, MNPI screening, client obligations, and data governance. Every research product published on our platform has passed all four layers.
MNPI Screened
Every transcript
PII Redacted
Expert identities protected
SEC §10b-5
Aligned
FCA Guidelines
Expert network compliant
Pillar 1
Expert Compliance
Every expert contributing to the Transcript IQ research network passes a rigorous vetting process before any engagement. We treat expert compliance as the foundation of the entire research product — a clean transcript begins with a clean expert relationship.
Identity & Professional Verification
- Professional identity verified against LinkedIn and company directories
- Current and previous employer relationships documented
- Relevant professional certifications noted
- Sanctions screening against OFAC, EU, and UN watchlists
Conflict of Interest Screening
- Disclosure of all current board seats, advisory roles, and consulting agreements
- Identification of any equity holdings in companies to be discussed
- Confidentiality agreement review — experts cannot discuss matters covered by active NDAs
- Cooling-off period enforced for recently departed executives
MNPI Attestation Process
- Pre-engagement MNPI declaration signed by expert
- Call screened in real time for inadvertent disclosure triggers
- Post-call MNPI attestation reconfirming no material non-public information was shared
- Transcript withheld if any MNPI risk is identified during review
Ongoing Expert Obligations
- Experts are briefed on permitted and prohibited topics before each call
- Expert Code of Conduct governs all engagements
- Experts may withdraw or request redaction of any statement post-call
- Repeat experts re-screened for conflicts before each new engagement
MNPI Certificate
Every published transcript includes an MNPI Screening Certificate. This document records the expert's pre- and post-call attestations, the reviewer's clearance decision, and any redactions made before publication. Clients may cite this certificate in compliance documentation.
Citation format: “Expert call, [Sector], via Transcript IQ, [Date] — MNPI Certificate available on request”
Pillar 2
Client Compliance
Clients accessing Transcript IQ research are responsible for ensuring appropriate use within their own compliance frameworks. Our platform is designed to make this straightforward.
Institutional Access Controls
Transcript IQ is a business-to-business platform accessible via verified corporate email addresses. This control ensures research reaches professional investors and analysts, not retail consumers, and creates a documented audit trail of who accessed what research and when.
Regulatory Alignment
Our compliance programme is designed with reference to SEC Rule 10b-5 (insider trading prohibition), FCA expert network guidelines (MAR 2016), MAS Guidelines on Prevention of Money Laundering (AML/KYC for expert contributors), and SEBI regulations on use of primary research by fund managers.
Compliance Documentation
Clients receive the following compliance artefacts with every purchase: (a) MNPI Screening Certificate, (b) Expert Disclosure Summary showing vetting outcome, (c) Watermarked PDF with client organisation identifier for information barrier purposes.
Compliance Officer Support
Compliance officers at client organisations are welcome to contact our compliance team directly to discuss our expert vetting process, review MNPI screening methodology, or request supporting documentation for internal review. Contact: compliance@transcript-iq.com
Client Obligations
Clients are required to: (a) use Research Products in accordance with the Terms of Engagement; (b) not distribute Research Products beyond their organisation without written consent; (c) report any suspected MNPI content to their compliance officer and to Transcript IQ immediately; (d) maintain records of research accessed as required by applicable regulations.
Pillar 3
Data Compliance & Privacy
Transcript IQ handles two categories of personal data: expert participant data (within transcripts) and client/user data (platform accounts and orders). Both are governed by strict data protection controls.
Expert Data — PII Redaction
All published transcripts are fully anonymised before release. Our PII redaction process removes or replaces:
- Expert name and personal identifiers
- Current employer name and team/division
- Personal email addresses and phone numbers
- Geographic identifiers that could identify the individual
- Any company-specific data that was not intended for disclosure
Former titles and roles are retained as they constitute non-identifiable professional context (e.g., “Former VP of Supply Chain, Major US Semiconductor OEM”).
Client Data — Platform Privacy
How we handle your organisation's data on the platform:
- Corporate email required — no personal Gmail or consumer email
- No sharing of client identities with experts or other clients
- Download logs retained for 5 years for MNPI compliance tracing
- Payment data processed exclusively by Stripe — never stored by us
- Data hosted on AWS ap-southeast-1 (Singapore)
Data Retention Schedule
| Category | Retention | Basis |
|---|---|---|
| Expert attestation records | 7 years | MNPI/regulatory |
| Client transaction records | 7 years | Tax obligation |
| Download access logs | 5 years | MNPI tracing |
| Expert call recordings (raw) | 90 days post-publication | Quality review |
| Marketing data | Until unsubscribed | Consent |
Compliance Team
Questions about our framework?
Our compliance team is available to answer questions from compliance officers, legal counsel, and institutional due diligence teams. We welcome scrutiny.