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Legal
Anti-money-laundering and counter-terrorist-financing measures applied across ZupiterX services.
This policy summarises the measures the operating company applies to prevent the services being used for money laundering, terrorist financing or sanctions evasion. It protects clients, the company and the integrity of the markets we provide access to.
The AML programme is designed around the laws, regulations and licence conditions applicable to the operating company and the services offered in each supported jurisdiction.
Before a live account can trade, we verify the client's identity and, where required, their address and source of funds. Due diligence is risk-based:
Client activity is monitored on an ongoing basis for patterns inconsistent with the client's profile or with legitimate trading. Verification information is refreshed periodically and on trigger events.
Identification documents, transaction records and related analysis are retained for the periods required by applicable law and regulatory obligations.
Suspicious activity is escalated internally and reported to the relevant authority where required. Staff must not disclose that a report has been made where doing so is prohibited by law.
Clients are screened against applicable sanctions lists at onboarding and on an ongoing basis. Relationships prohibited by applicable sanctions are not established or maintained.
Deposits and withdrawals are subject to controls designed to prevent misuse, which may include name matching and restrictions on third-party payments.
Relevant staff receive AML training appropriate to their role, and the programme is overseen by the operating company's compliance function and reviewed periodically.
AML-related questions can be raised through the contact form under "Compliance enquiry".