Compliance & Ethics
Compliance is not a constraint. It is a condition of access.
Compliance is not a constraint. It is a condition of access.
No serious financial institution, international investor or funder will enter into a relationship with a counterparty whose compliance framework cannot be demonstrated. AXIS FINANCE built its own from the moment it was established.
- Anti-money laundering and countering the financing of terrorism (AML/CFT) A comprehensive framework aligned with the FATF Recommendations and GIABA directives: client identification and identity verification, enhanced due diligence on politically exposed persons, transaction monitoring, record keeping, and reporting of suspicious transactions to the competent authorities.
- Know your customer (KYC) Documented onboarding procedures, periodic updating of client files, risk classification by counterparty.
- Personal data protection Data processing in accordance with the principles of purpose limitation, proportionality and security. Secure hosting, access logging, segregation of access rights.
- Cybersecurity Technical architecture designed on a secure-by-default basis, encrypted data flows, periodic penetration testing, business continuity plan.
- Conflict-of-interest prevention Functional and informational separation between advisory, intermediation and research activities. Conflicts of interest register. Code of conduct rules applicable to staff members' personal transactions.
- Client protection Full fee transparency, formalised pre-contractual information, complaints handling procedure.
Regulatory scope. Activities subject to authorisation or licensing are carried out only once the required authorisations have been obtained, or through specialised subsidiaries or duly licensed partners.
What a demonstrable compliance framework changes for your relationship with us.
No serious institution will enter into a relationship with a counterparty whose compliance framework cannot be verified document by document.
Faster onboarding for financial institutions.
Documented KYC procedures and a risk classification already in place reduce the time your teams or your banking partners spend assessing us.
Direct alignment with FATF/GIABA standards.
Our AML/CFT framework is built to be recognised by international correspondent banks without further translation or justification.
Strict separation between advisory, intermediation and research.
This functional Chinese wall protects your file from any cross-use of information — a point that institutional investors scrutinise closely.
