01
Advisory Scope & Authorisation
Our licence authorises investment research and advisory services on exchange-traded futures instruments. All advisory content falls within this authorisation. We do not act as a principal trader — all market activity remains the sole discretion of the client.
02
Client Classification & Suitability
Before engaging any client, a structured suitability assessment is conducted covering financial position, investment objectives, risk tolerance, and relevant experience. Advisory services are extended only to clients whose profile is consistent with the strategies under review.
03
Conflict of Interest Management
A formal conflict of interest policy is maintained at all times. Where a potential conflict arises between the firm's interests and a client's, the matter is disclosed in writing and managed through predetermined mitigation procedures.
04
Record-Keeping & Audit Trail
All client communications, advisory outputs, suitability assessments, and transaction records are retained in accordance with minimum statutory periods and made available to regulatory authorities upon lawful request.
05
AML & KYC Procedures
Client onboarding includes identity verification, source-of-funds documentation, and screening against applicable sanctions and PEP databases. Ongoing monitoring flags unusual transaction patterns for escalation to the firm's compliance officer.
06
Supervisory & Reporting Obligations
Periodic regulatory returns are submitted to the SECP as required under the licence conditions. The compliance officer maintains direct liaison with the regulator and ensures all supervisory obligations are met within prescribed timelines.
