KYC Policy (Know Your Customer)
At AU Capital Mgmt, we are committed to maintaining a secure, transparent, and compliant trading environment. To protect our clients and comply with international Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) regulations, all clients are required to complete our Know Your Customer (KYC) verification procedures.
This policy is designed to safeguard our platform, prevent fraudulent activities, and ensure the integrity of all financial transactions conducted through AU Capital Mgmt.
1. Customer Identification & Verification
To verify customer identity and ensure regulatory compliance, clients must provide accurate, complete, and verifiable information during the registration process.
Individual Clients
Clients may be required to submit:
- Full legal first and last name
- Permanent residential address
- Date of birth
- Occupation or source of income
- Valid government-issued identification document
(Passport, National ID Card, or Driver’s License) - Recent proof of address
(Utility Bill, Bank Statement, or Tax Document issued within the last 3 months)
Corporate Clients
Corporate or institutional accounts may additionally be required to provide:
- Certificate of Incorporation
- Memorandum & Articles of Association
- Board Resolution authorizing account activity
- Register of Directors and Shareholders
- Proof of business address
All submitted documents are reviewed and verified using reliable and independent verification procedures to help prevent identity fraud, money laundering, terrorist financing, and other unlawful financial activities.
2. Customer Acceptance Policy
Before establishing a business relationship, AU Capital Mgmt evaluates each applicant based on internal risk assessment procedures.
The assessment may include factors such as:
- Country of residence or incorporation
- Nature of business activities
- Financial risk indicators
- Politically Exposed Person (PEP) status
- Regulatory and sanctions screening
AU Capital Mgmt reserves the right to reject applications or terminate relationships that present elevated compliance, regulatory, or reputational risks.
The following are generally not accepted:
- Anonymous or fictitious accounts
- Shell banks or unregulated financial institutions
- Clients from sanctioned or restricted jurisdictions
- Individuals or entities involved in suspicious or unlawful activities
- Applications failing to meet verification requirements
3. Ongoing Monitoring & Compliance
As part of our ongoing compliance obligations, AU Capital Mgmt continuously monitors customer transactions and account activity to identify unusual, suspicious, or potentially unauthorized behavior.
Transactions that appear inconsistent with a client’s profile or trading activity may be subject to additional verification or compliance review.
Failure to provide requested documentation or cooperate with compliance procedures may result in:
- Suspension or refusal of account access
- Delayed or restricted transactions
- Termination of the business relationship
- Reporting to relevant regulatory or law enforcement authorities where required by law
4. Third-Party Verification Services
To strengthen compliance procedures, AU Capital Mgmt may use trusted third-party verification providers to authenticate identity documents and customer information.
All third-party partners are required to comply with strict confidentiality, privacy, and data protection standards.
In certain circumstances, certified true copies of original documents may be requested.
Transparency & Security at AU Capital Mgmt
AU Capital Mgmt is dedicated to maintaining the highest standards of financial security, transparency, and regulatory compliance.
By following internationally recognized KYC and AML standards, we strive to provide a reliable and secure trading environment for all clients worldwide.
Stay compliant. Stay secure.