Compliance & Regulatory

At Vommuli Financial Capital, we are committed to maintaining the highest standards of compliance, ethics, and regulatory adherence in all our capital introduction and advisory services.

Regulatory Framework

Our business operates within a comprehensive regulatory framework designed to ensure:

• Compliance with applicable securities laws and regulations
• Adherence to financial services regulatory requirements
• Maintenance of professional standards and ethics
• Protection of client confidentiality and data privacy
• Transparency in business practices and fee structures

Securities Law Compliance

Investment Adviser Regulations

Our advisory services are structured in compliance with applicable investment adviser regulations. We maintain appropriate registrations and filings as required by law.

Broker-Dealer Activities

We carefully structure our capital introduction services to comply with broker-dealer regulations while providing valuable advisory and introduction services to our clients.

Anti-Money Laundering (AML)

We maintain robust AML policies and procedures, including client due diligence, ongoing monitoring, and reporting of suspicious activities as required by law.

Client Protection Standards

Know Your Customer (KYC)

We implement comprehensive KYC procedures to verify client identities, understand their business needs, and ensure our services are appropriate for their circumstances.

Conflicts of Interest

We maintain policies to identify, disclose, and manage potential conflicts of interest. We prioritize our clients' interests and maintain transparency in our business relationships.

Confidentiality and Privacy

Client information is protected through strict confidentiality procedures, secure data handling practices, and compliance with applicable data protection laws.

Professional Standards

Ethical Conduct

Our team adheres to the highest standards of professional ethics, including honesty, integrity, and fair dealing in all client relationships and business activities.

Professional Qualifications

Our professionals maintain relevant industry certifications, licenses, and continuing education requirements to ensure competency in their areas of expertise.

Due Diligence Standards

We conduct appropriate due diligence on both clients and potential investors to ensure suitable matches and maintain the integrity of our introduction process.

Operational Compliance

Record Keeping

We maintain comprehensive records of our activities, communications, and transactions in accordance with regulatory requirements and best practices.

Risk Management

Our risk management framework includes policies for operational risk, reputational risk, and regulatory compliance risk to protect both our firm and our clients.

Quality Assurance

We implement quality assurance procedures to ensure consistent service delivery and compliance with our internal standards and regulatory requirements.

International Compliance

For clients and transactions involving international jurisdictions, we:

• Research and comply with applicable foreign regulations
• Implement appropriate cross-border compliance procedures
• Maintain awareness of international sanctions and restrictions
• Ensure proper tax and reporting considerations are addressed

Ongoing Monitoring and Training

Regulatory Updates

We continuously monitor regulatory developments and update our policies and procedures to maintain compliance with evolving requirements.

Staff Training

Our team receives regular training on compliance requirements, ethical standards, and best practices to ensure consistent adherence to our high standards.

Internal Audits

We conduct regular internal reviews and audits to assess compliance effectiveness and identify areas for improvement.

Reporting and Disclosure

We maintain transparency through:

• Clear disclosure of fees and service terms
• Appropriate regulatory filings and registrations
• Timely reporting of material changes or issues
• Regular communication with regulatory authorities as required

Client Responsibilities

To maintain our compliance standards, we expect clients to:

• Provide accurate and complete information
• Comply with applicable laws and regulations
• Maintain appropriate licenses and registrations
• Disclose any material changes or potential issues
• Cooperate with our compliance procedures and requirements

Compliance Contact

For compliance-related questions, concerns, or to report potential violations, please contact our compliance team: