ROBUST COMPLIANCE
Compliance and Conduct
Our comprehensive compliance framework has been enhanced over many years and adopts internationally recognised legal and regulatory standards. Our code of conduct sets out the standards of professional behaviour, integrity and diligence required from all of our people, wherever they work.
RESPONSIBLE CORPORATE LEADERSHIP
Tradegura’s compliance approach
We have implemented a range of policies and controls to comply with applicable laws and regulations, align to applicable international standards and promote compliant market conduct.
Our Compliance team has a global presence, with 26 full-time members based in China, Greece, India, Singapore, Switzerland, United Arab Emirates, the US and Uruguay. The Chief Compliance Officer reports directly to the Board Risk and Compliance Committee. Tradegura has sought to create a culture where employees can feel secure in seeking advice and raising concerns.
Focus on responsible conduct
Important compliance areas of focus across our operations and activities include topics such as anti-money laundering; prevention of bribery and corruption; trade and economic sanctions; anti-trust and competition law.
Key areas of financial regulatory compliance include market conduct; appropriate licensing; transaction reporting, confirmation and reconciliation; regulator and exchange engagement.
OUR STANDARDS
Upholding compliance with applicable laws and regulations
Our Code of Business Conduct sets out our corporate principles and business ethics, which all employees, officers, and directors must follow when acting on behalf of Tradegura.
Compliance with the Code and Compliance Policies is a mandatory requirement of employment at Tradegura. The Board and Executive Committee support the implementation of its principles as a strategic priority.
MANDATORY TRAINING
Supporting our employees
Online mandatory training courses are completed by all staff on key risk topics including: anti-bribery and corruption; market abuse; anti-trust and competition law; and anti-money laundering. We provide regular guidance to employees as new laws and regulations are implemented and polices are updated.
KNOW YOUR COUNTERPARTY
Continual improvement of our approach to counterparty due diligence
Key to the assessment of counterparties is the Know Your Counterparty (KYC) onboarding and monitoring processes, alongside our enhanced process for high-risk entities. This due diligence system is regularly reviewed to reflect the changing regulatory environment.
Speak Up portal
At Tradegura, we encourage you to speak up on any issues that may negatively impact the wellbeing of our employees, our operations, surrounding communities, and the reputation of the Group.