Achieving Our Goals While Preserving Our Corporate Integrity
Anti-fraud compliance is a critical component of our daily operations. We recognize the significant risks present in the global markets we operate in, including finance, energy, pharmaceuticals, commodities, and precious metals. The advent of globalization and technological advancements has expanded transactional opportunities but has also opened the door to fraud and financial scams. Combatting these threats is a top priority for our organization, and we have established rigorous procedures and protocols to prevent fraud, including the following key measures:
Our global presence across multiple continents enables us to foster strong, lasting relationships with our clients. This personal engagement not only simplifies operations but also enhances client credibility and helps us identify potential scams. At Capital Industree, we prioritize face-to-face meetings and extend invitations to valued clients to visit our offices. This approach helps us prevent fraud before initiating any corporate commercial relationship.
We invest heavily in scam prevention by thoroughly screening clients and investors through our compliance processes. Utilizing advanced background check methods and collaborating with regulated financial institutions, we identify potential scams. Our legal department and external law firms support these efforts, ensuring comprehensive scrutiny of all transactions.
All intermediaries seeking to conduct business with Capital Industree must provide a letter of representation, recognized by us and registered in our database with a unique internal serial number. No intermediary or broker dealer may offer our services or products without official approval from Capital Industree, which includes an operational number issued after signing an NCNDA contract and passing a consolidated background check.
To avoid money laundering and cyber scams, all clients must use their own payment guarantee methods, such as letters of credit. We do not accept letters of credit from third parties. Direct payments in liquid assets and other securities are accepted only if verified by contract and origin of funds, ensuring they do not come from sanctioned countries or blacklisted sources. All financial documents must be verified through SWIFT, Bloomberg, or Euroclear, or directly between bankers, with intermediaries not authorized to disclose sensitive information. All transactions with our trading desk using securities will be settled by AITC (Account transfer settlement document format).
All financial transactions are subject to Basel IV compliance to ensure their viability and prevent fraud involving hacked or diverted financial instruments. Our corporate group's emails are centralized and monitored by a senior executive from our legal department, alongside our senior board directors and major shareholders, to safeguard against cyber financial attacks.
Any malicious acts by intermediaries, broker dealers, employees, or executives of Capital Industree intended to harm our corporate image or brand will be subject to strict sanctions. This includes the disclosure of sensitive information, cyber espionage, price manipulation, and document falsification. We will pursue criminal complaints in the local jurisdictions where these acts occur, acting swiftly and decisively to prevent and address such issues.
At Capital Industree, protecting our corporate organization from fraud is fundamental to achieving our objectives and maintaining trust within our industry.