Governance & compliance
Compliance
Compliance procedures apply to counterparties, transactions and internal conduct. Regulatory status or licences are not asserted unless published and verified.
In practice
- Anti-money-laundering (AML) principles applied to all counterparties
- Know-your-customer (KYC) documentation before engagement
- Sanctions and adverse-media screening
- Source-of-funds review for material transactions
- Ongoing monitoring and periodic re-verification