Financial Crime Prevention Policy
1. Zero Tolerance for Financial Crime
Montrock does not knowingly facilitate money laundering, terrorist financing, proliferation financing, fraud, bribery, corruption, sanctions evasion, market abuse, tax crime or other serious financial crime.
2. Framework
Controls include governance, risk assessment, customer due diligence, beneficial-owner verification, screening, transaction monitoring, payment controls, staff training, internal reporting, investigation and independent review.
3. Fraud Prevention
The Company may use identity checks, device intelligence, payment verification, account-name checks, authentication, behavioural monitoring and manual investigation to detect impersonation, stolen identity, account takeover and payment fraud.
4. Market Abuse
Orders and account activity may be reviewed for potential manipulation, insider dealing, wash trading, layering/spoofing or other conduct inconsistent with applicable law and market integrity.
5. Third Parties
Banks, payment agents, vendors, introducing partners and other material third parties may be subject to due diligence proportionate to their role and risk.
6. Reporting and Cooperation
The Company cooperates with competent authorities and makes required reports. Confidentiality and anti-tipping-off requirements are observed.
7. Staff Responsibilities
Employees and contractors must understand red flags, escalate concerns and complete required training. Deliberate circumvention of controls may result in disciplinary action.
Contact and Regulatory Information
Montrock Ltd is incorporated in Mauritius under Company No. 231276 GBC and is regulated by the Financial Services Commission, Mauritius (FSC) as an Investment Dealer (Full Service Dealer, Excluding Underwriting), FSC Licence No. GB25205688. Registered office: Suite 201, Level 2, The Catalyst, 40 Silicon Avenue, Cybercity, Ebene 72201, Mauritius.
Compliance enquiries: compliance@mont-rock.com
Website: https://mont-rock.com
Risk warning: Transactions in financial instruments, particularly leveraged or derivative instruments where offered, involve significant risk and may result in substantial loss. Nothing on the website constitutes a guarantee of profit or investment performance.