Compliance

Candid insight, through a process that holds up afterward

Primary research is only useful if it is usable. This is what we screen for before a call is scheduled, what an expert may not discuss on it, how your own policy is applied, and what the engagement leaves behind.

Before anything is scheduled

What we screen for, and when

Screening happens before an expert is offered to you, not after you have chosen one. Our research team identifies and vets each specialist, and clears them for material non-public information and for conflicts, before anything is put in a calendar.

What that clearance covers:

  • Employer restrictions. Whether their current or former employer permits consultation, and on what.
  • Conflicts. Whether they hold a commercial position in the question you are asking — as a supplier, a competitor, an investor or an adviser to one.
  • Confidentiality. What they are bound by, and what that leaves them able to discuss.
  • Material non-public information. Whether their position gives them access to it, and whether the question invites it.

An expert who does not clear is not offered. We would rather tell you the field is thin than fill it.

On the call

What an expert may not discuss

Every expert acknowledges the boundaries before the first call, and they are restated at the start of it. They may not disclose material non-public information about any company. They may not discuss the confidential business of a current employer, or of a former one where their obligations continue. They may not speak about a company where they sit on a restricted list you have given us.

What they can do is the reason for the call: describe how a market works, what customers buy on, how a process runs, and what they would look at if the decision were theirs.

Your policy, not only ours

Engagements run on your compliance terms

Most of the teams we work with arrive with a policy of their own, and the engagement is scheduled around it rather than around ours. Restricted lists, pre-approval workflows, chaperoned calls, recording rules and topic exclusions are all accommodated — tell us the constraint before we scope, and it shapes who we approach.

Where your policy and ours differ, the stricter one applies.

Afterward

A record your compliance team can actually read

Every engagement leaves a file: who was approached, what they were screened on, the terms they acknowledged, what was scheduled and what was delivered. Where a call is recorded with consent, you receive the transcript and a structured summary alongside it.

That is what "defensible" means on the rest of this site — not a claim about intent, but a set of documents that exist whether or not anyone ever asks for them.

Regulated work

Public markets, and the questions that need more care

Channel checks through a quarter, pre-earnings work and any engagement for a public equity team carry an additional screen: we exclude experts whose current position could give them access to the numbers being asked about, and we scope the question so that it asks about the market rather than about the company's unpublished results.

Expert witness and litigation work runs its own process again, because there the sourcing is the deliverable — conflicts are mapped first, and everything else is assessed after.

If something is wrong

How to raise it, and what happens next

If anything said on a call gives you concern — a disclosure that should not have been made, a conflict that was not caught, an expert who was not who we said they were — stop the call and tell us. Write to compliance@nextyn.com and it reaches the people who ran the engagement.

We will tell you what we find, including when what we find is that we got it wrong.

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