Regulatory Compliance

Last Updated: [Nov. 28, 2023]

Welcome to the Regulatory Compliance Document of Imperial Holdings. This document outlines our commitment to compliance with relevant laws, regulations, and industry standards to ensure the integrity, transparency, and legality of our operations.

Compliance Framework

We adhere to a comprehensive compliance framework designed to address legal, regulatory, and ethical obligations. Our framework includes policies, procedures, and controls to promote compliance across all aspects of our business.

Regulatory Landscape

We closely monitor and assess regulatory developments at the local, national, and international levels to ensure that our operations remain in compliance with applicable laws and regulations. This includes regulations related to:

Financial Services: such as licensing requirements, anti-money laundering (AML) regulations, and investor protection measures.
Data Protection: including privacy laws and regulations governing the collection, use, and protection of personal information.
Consumer Protection: ensuring fair and transparent practices in our dealings with clients and stakeholders.
Anti-Corruption: prohibiting bribery, corruption, and unethical conduct in all forms.

Compliance Policies and Procedures

We have established robust compliance policies and procedures to guide our employees and stakeholders in meeting regulatory requirements. These policies cover areas such as:

AML and Know Your Customer (KYC) Procedures: to prevent money laundering, terrorist financing, and other illicit activities.
Data Privacy and Security: to safeguard the privacy and confidentiality of customer information.
Conflicts of Interest: to identify, manage, and disclose conflicts of interest that may arise in our business activities.
Trading and Investment Practices: ensuring fair and ethical trading practices and adherence to investment guidelines.
Reporting and Recordkeeping: maintaining accurate records and reporting information as required by regulatory authorities.

Compliance Training and Awareness

We provide ongoing training and awareness programs to educate employees about their compliance obligations and empower them to identify and address compliance risks. This includes training on relevant laws and regulations, as well as company policies and procedures.

Monitoring and Oversight

We conduct regular monitoring and oversight activities to assess compliance with regulatory requirements and identify areas for improvement. This includes:

Regular audits and reviews of our operations, systems, and controls.
Monitoring of key performance indicators and risk indicators to detect potential compliance issues.
Establishment of compliance committees or oversight bodies to oversee compliance activities and address emerging risks.

Reporting and Escalation

We maintain channels for reporting and escalation of compliance concerns, allowing employees and stakeholders to raise issues or seek guidance on compliance matters. This includes:

Whistleblower policies and anonymous reporting mechanisms to encourage the reporting of potential violations.
Procedures for investigating and addressing reported concerns in a timely and effective manner.

Regulatory Engagement

We engage proactively with regulatory authorities and industry stakeholders to stay informed about regulatory developments, contribute to policy discussions, and advocate for responsible regulation. This includes:

Participation in industry forums, working groups, and consultations on regulatory matters.
Collaboration with regulators to address emerging issues and promote best practices in compliance.

Continuous Improvement

We are committed to continuous improvement in our compliance practices and processes. This includes:

Regular reviews and updates to our policies and procedures to reflect changes in regulations and industry standards.
Implementation of remedial actions and enhancements based on findings from audits, reviews, and compliance monitoring activities.

Conclusion

At Imperial Holdings, we are committed to upholding the highest standards of regulatory compliance in all aspects of our business. By adhering to legal and ethical principles, we strive to earn the trust and confidence of our clients, employees, and stakeholders.

If you have any questions or concerns about our regulatory compliance practices, please contact our Compliance Officer at support@theimperialholdings.com

Thank you for your trust and support.

Imperial Holdings Compliance Team