Regulatory Compliance
Maintaining the highest standards of regulatory compliance and operational integrity
Compliance Framework 2025
Regulatory Framework
US
United States
- • SEC Registration & Compliance
- • CFTC Swap Dealer Registration
- • FINRA Member Obligations
- • Dodd-Frank Act Compliance
EU
European Union
- • MiFID II Implementation
- • EMIR Trade Reporting
- • GDPR Data Protection
- • CRD IV Capital Requirements
UK
United Kingdom
- • FCA Authorization
- • UK MiFIR Compliance
- • Senior Managers Regime
- • Market Abuse Regulation
Compliance Programs
Anti-Money Laundering (AML)
Customer Due Diligence
- • Enhanced KYC procedures for institutional clients
- • Beneficial ownership identification
- • Ongoing monitoring and risk assessment
- • Sanctions screening and PEP checks
Transaction Monitoring
- • Real-time suspicious activity detection
- • Automated alert generation and investigation
- • SAR filing and regulatory reporting
- • Cross-border transaction monitoring
Market Conduct & Best Execution
Trading Surveillance
- • Real-time market abuse detection
- • Cross-market surveillance systems
- • Algorithmic trading monitoring
- • Insider trading prevention controls
Best Execution
- • Execution quality monitoring and reporting
- • Venue selection and order routing
- • Transaction cost analysis
- • Client execution reports
Risk Management & Capital
Operational Risk
- • Business continuity and disaster recovery
- • Cybersecurity and data protection
- • Third-party risk management
- • Operational resilience framework
Capital Adequacy
- • Regulatory capital calculations
- • Stress testing and scenario analysis
- • Liquidity risk management
- • Recovery and resolution planning
Reporting & Transparency
Regulatory Reporting
- Daily trade reporting to relevant authorities
- Position and exposure reporting
- Regulatory capital and liquidity reports
- Market making and liquidity provision metrics
Client Transparency
- Execution quality reports and analytics
- Cost and charges disclosure
- Risk and performance attribution
- Regulatory status and permissions
Compliance Contact
For compliance-related inquiries, regulatory questions, or reporting requirements
Chief Compliance Officer
compliance@iuxbank.com
Regulatory Affairs
regulatory@iuxbank.com
AML Officer
aml@iuxbank.com