Anti-Money Laundering (AML) Policy
Peakstone Fidelity is fully committed to preventing money laundering, terrorist financing, fraud, and other financial crimes. This Anti-Money Laundering (AML) Policy outlines the principles, procedures, and controls implemented to ensure compliance with applicable laws and regulatory requirements.
All clients, partners, and employees of Peakstone Fidelity are required to adhere strictly to this policy as part of our commitment to operating a transparent, secure, and compliant financial services environment.
Customer Due Diligence (CDD)
Peakstone Fidelity applies Customer Due Diligence measures to identify and verify the identity of all clients before establishing a business relationship. This includes the collection of personal identification information and, where applicable, verification of the source of funds.
Enhanced Due Diligence (EDD) may be applied to higher-risk clients, transactions, or jurisdictions to mitigate potential financial crime risks.
Ongoing Monitoring
Client accounts and transactions are continuously monitored to detect suspicious activity or unusual transaction patterns. Peakstone Fidelity reserves the right to request additional documentation or clarification where necessary.
Any activity deemed suspicious will be investigated promptly and may be reported to relevant regulatory or law enforcement authorities in accordance with applicable laws.
Record Keeping
Peakstone Fidelity maintains accurate records of client identification, transaction history, and compliance documentation for the period required by law. These records are securely stored and protected against unauthorized access.
Risk Assessment
Regular risk assessments are conducted to identify, evaluate, and mitigate money laundering and financial crime risks associated with clients, products, services, and geographic locations.
Employee Training
All relevant employees receive ongoing AML and compliance training to ensure awareness of regulatory obligations, internal procedures, and the identification of suspicious activities.
Regulatory Compliance
Peakstone Fidelity complies with all applicable anti-money laundering, counter-terrorist financing, and financial crime regulations in the jurisdictions in which it operates.