AML Policy

Introduction

Equity Investments is committed to preventing the use of our services for money laundering or terrorist financing. We adhere to stringent compliance with all applicable laws and regulations regarding anti-money laundering (AML) procedures. This policy outlines our efforts to detect, prevent, and report attempts to use our financial services platform for illegal purposes.

Scope

This AML Policy applies to all employees, officers, and directors of Equity Investments and covers all operations and transactions conducted by the company.

Policy Statement

Equity Investments takes a zero-tolerance approach to being involved in any way with money laundering or terrorist financing. We implement robust measures to identify and mitigate associated risks, including:

1. Customer Due Diligence (CDD): We conduct thorough customer due diligence to verify the identity of our clients and understand the nature of their business activities. Enhanced due diligence (EDD) is performed where higher risks are identified.

2. Record Keeping: All financial transactions and customer identification records will be kept for a minimum period as required by law, ensuring they are available for inspection by regulatory authorities when necessary.

3. Monitoring and Reporting: Continuous monitoring of client transactions is conducted to identify and report any suspicious activities to the relevant authorities without delay. Equity Investments complies with its obligation to report suspicious transactions to the National Crime Agency (NCA) as soon as practicable.

4. Risk Assessment: Regular risk assessments are conducted to identify potential risks related to money laundering and terrorist financing within our operations. These assessments inform our control measures and the focus of our compliance efforts.

5. Training and Awareness: We provide regular AML training to all relevant employees to ensure they are aware of the risks and the legal requirements, including how to recognize and deal with transactions that may involve money laundering.

6. Compliance Officer: Equity Investments has appointed a designated AML Compliance Officer responsible for overseeing the implementation of this policy and reporting to relevant regulatory bodies.

Compliance with Sanctions Policy

In addition to AML measures, Equity Investments ensures compliance with all applicable sanctions regimes. We do not engage in or facilitate transactions that are prohibited under the sanctions laws and regulations of the United Nations, European Union, United Kingdom,China and other relevant authorities.

Review and Enforcement

This AML Policy is regularly reviewed to ensure it remains compliant with current laws and regulations. Any breach of this policy by employees or associated parties will result in disciplinary action, which may include termination and legal action.

Contact Information

For any queries regarding our AML Policy or practices, please contact our AML Compliance Officer at: aml@equityinv.com