Self-Assessment

We leverage self-assessment tools to monitor compliance with internal controls, risk management protocols, and regulatory requirements. Senior Management and the Board of Directors review the results of these assessments regularly to drive continuous improvement and ensure full compliance.

Training & Development

We recognize that effective training and development are essential for meeting industry standards and prudential requirements. Our employees engage in specialized training programs focused on governance, risk management, and anti-money laundering, ensuring they are well-prepared to execute their roles responsibly.

Mandatory Training

New employees involved in financial transactions are required to complete mandatory anti-money laundering and compliance training as part of their onboarding. Additionally, employees with fiduciary responsibilities must take an annual refresher course to stay current with regulatory developments.

KYC, SOW, & SOF

As part of our Know Your Customer (KYC) protocols and Source of Wealth (SOW) and Source of Funds (SOF) practices, we verify each client’s identity and residential address in accordance with our licensing requirements. These procedures are clearly detailed in our Terms & Conditions. Additionally, we review client employment and income sources to ensure all deposited funds meet KYC standards.

Identification Technologies

To combat identity fraud, we use advanced tools for document authentication and electronic database verification. These systems help detect and prevent the use of stolen identities or counterfeit documents. When necessary, we employ additional measures such as biometric checks, publicly available databases, video calls, or “selfie certifications” to confirm client identities.

Sanctions Compliance

We routinely update client records with economic profile information and conduct detailed screenings to identify individuals who may be subject to sanctions, classified as Politically Exposed Persons (PEPs), or linked to adverse media coverage.

No Third-Party Transactions

We maintain a strict policy against third-party deposits and withdrawals. Wherever feasible, funds are returned to their original source to prevent the layering of illicit proceeds and to bolster anti-fraud efforts.

Regular Audits

Our Internal Audit team conducts an annual, risk-based review to evaluate the effectiveness of our internal controls and ensure compliance with all relevant laws and regulations.