Compliance is part of every mandate.
We hold ourselves to the standards our clients expect of the institutions they appoint.
Six areas we take seriously.
Know your client
Legal entity, beneficial owners and authorised signatories are identified and verified before any engagement.
Anti-money laundering
Source of funds and source of wealth are reviewed, and unusual activity is escalated.
Sanctions screening
Clients, counterparties and transactions are screened against applicable UK, EU, US and UN measures.
Anti-bribery and corruption
No improper payments, and no introductions through intermediaries we cannot verify.
Conflicts of interest
Conflicts are identified, disclosed and managed so that client interests come first.
Confidentiality and data
Client information is held in strict confidence and handled in line with applicable data-protection law.
Four stages before any mandate begins.
Identify
Legal entity, ownership structure and authority to act confirmed.
Screen
Parties checked against sanctions and watch lists, with adverse-media review.
Approve
A compliance decision is recorded before a mandate begins.
Monitor
Screening and documents refreshed as clients, terms or jurisdictions change.
What we ask for, and what we decline.
What we ask for
- Constitutional documents. Certificate of incorporation and registered address.
- Ownership. Beneficial owners and the structure above the client.
- Authority. Proof that signatories may bind the client.
- Source of funds and wealth. A clear, documented origin.
- Identification. Passport or national ID for directors and owners.
What we decline
- Sanctioned persons, entities or jurisdictions.
- Ownership that cannot be verified.
- Any request to bypass or shorten screening.
- Funds or wealth of unexplained origin.
- Instructions to pay unnamed or unrelated third parties.
Applied across every office.
The same policies apply in London, Doha, George Town and Majuro, and are reviewed regularly by senior management.
Oryx Sovereign Wealth Advisors is a trading name of [legal entity name]. [Regulatory status, registration number and supervisory authority to be added here.] See also our important information.
Raise a concern or make a complaint.
Concerns can be raised in confidence, and every one is taken seriously and reviewed.
Write to [compliance@oryxswa.com] or to info@oryxswa.com, marking your message "Compliance". Our compliance policy is available to clients on request.
Begin with a conversation.
Tell us about your mandate. A senior member of the team replies within one business day.