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Governance Framework

Institutional governance aligned with FINMA and CSSF expectations. Operating with independent oversight, real-time risk controls, and multi-jurisdictional compliance to safeguard client mandates across digital and traditional markets.

Governance Pillars

Foundational elements ensuring mandates are executed within tightly controlled risk and operational frameworks.

Regulatory Oversight

  • FINMA-licensed Swiss asset manager adhering to FinIA and FinSA standards with SRO membership
  • Luxembourg CSSF umbrella with sub-funds operated under UCITS-like governance and compartmental segregation
  • US and APAC representative offices following local AML/CTF frameworks and cross-border distribution rules

Risk & Compliance

  • Independent Chief Risk Officer and compliance team reporting to the board and audit committee
  • Real-time risk dashboards with automated mandate breach alerts and escalation procedures
  • Annual audits covering financial statements, AML/CTF, cybersecurity, and operational resilience

Operational Resilience

  • 24/7 trading operations with redundant data centres and disaster recovery tested quarterly
  • Segregated permissions, hardware security modules, and multi-party approval flows for all transfers
  • Third-party vendor due diligence covering custody, exchange venues, and SaaS providers

Committees & Oversight

Dedicated committees provide layered supervision across investment, compliance, and operations.

Board of Directors

  • Approves strategic direction, annual budgets, and risk appetite statements
  • Receives quarterly reporting from Risk, Compliance, and Operations leads
  • Includes independent directors with TradFi, legal, and cybersecurity expertise

Investment & Risk Committee

  • Monthly evaluation of strategy performance, limits, and hedging effectiveness
  • Reviews new strategy onboarding, counterparty exposures, and scenario testing
  • Chaired by the CIO with participation from CRO, Head of Trading, and external advisor

Compliance & Audit Committee

  • Supervises AML/KYC processes, regulatory filings, and policy updates
  • Coordinates annual audits and independent control reviews
  • Maintains regulatory contact with FINMA, CSSF, and other local authorities

Disclosures & Reporting

Transparency packs, policy documentation, and reporting cadences available to clients and regulators.

Policies & Documentation

  • Investment Policy Statements & IPS addenda per mandate
  • AML/KYC Program and Travel Rule compliance
  • Business Continuity & Disaster Recovery plans
  • Code of Ethics, personal dealing, and insider trading policies
  • Cybersecurity framework and incident response playbooks

Reporting Cadence

  • Daily internal risk reports with VaR, exposure, and liquidity metrics
  • Weekly allocator updates for SMAs and compartment investors
  • Monthly board packs and Committee minutes
  • Quarterly regulator touchpoints and filings
  • Annual audited financial statements and control attestations

Access to full governance dossiers, policy documentation, and regulator communications is provided through the client portal or upon request to Compliance.

Request Governance Documentation

Access detailed compliance frameworks, audit reports, and policy documentation through our secure portal.

Contact Compliance