Our Commitment to Compliance

fortresspike, a leading global securities firm headquartered in London, UK, is dedicated to maintaining the highest standards of regulatory compliance and ethical conduct. This Compliance Policy outlines our approach to adhering to applicable laws, regulations, and industry standards.

Regulatory Framework

We operate under the oversight of relevant regulatory bodies, including the Financial Conduct Authority (FCA) in the UK. Our Services comply with:

• Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) regulations.
• Know-Your-Customer (KYC) requirements for client verification.
• Data protection laws, including the UK GDPR and EU GDPR.
• Financial services regulations governing trading and investment activities.

Compliance Program

Our compliance program includes:

• VIP Compliance Team: Led by professionals with extensive experience, ensuring adherence to regulatory standards.
• Training: Regular training for employees on compliance, ethics, and risk management.
• Monitoring: Continuous monitoring of transactions and activities to detect and prevent illicit behavior.
• Audits: Internal and external audits to assess compliance with policies and regulations.

Client Verification

To comply with AML and KYC regulations, we require clients to provide accurate identification and financial information. Failure to provide this information may result in account restrictions or termination.

Ethical Conduct

We uphold integrity and transparency in all operations. Employees and affiliates are required to:

• Avoid conflicts of interest.
• Maintain confidentiality of client information.
• Act in the best interests of clients.

Reporting Violations

We encourage reporting of suspected compliance violations. Clients and employees can contact our compliance team confidentially at compliance@fortresspike.com.

Consequences of Non-Compliance

Violations of this Compliance Policy or applicable regulations may result in account suspension, termination, or legal action. We cooperate fully with regulatory authorities in investigations.

Updates to This Policy

We may update this Compliance Policy to reflect changes in regulations or our practices. Updates will be posted on this page with an effective date.

Contact Us

For questions about this Compliance Policy, please contact us:

fortresspike
Email: support@fortresspike.com