Compliance

Effective Date: November 8, 2025

This Compliance Statement outlines our commitment to adhering to applicable laws, regulations, and industry standards. Riverton Markets ("we," "our," or "us") operates under a framework of integrity, transparency, and accountability.

Regulatory Framework

Riverton Markets operates in compliance with applicable financial services regulations in the jurisdictions where we are authorized to conduct business. Our compliance program is designed to ensure adherence to all relevant laws and regulations.

Licensing and Registration

We maintain all necessary licenses and registrations required to operate our proprietary trading services. Our regulatory status is regularly reviewed and updated to ensure continued compliance with evolving requirements.

Anti-Money Laundering (AML)

We have implemented comprehensive AML procedures to detect and prevent money laundering activities. Our AML program includes:

• Customer due diligence procedures
• Know Your Customer (KYC) verification processes
• Transaction monitoring systems
• Suspicious activity reporting
• Staff training on AML requirements

Data Protection and Privacy

We are committed to protecting the privacy and security of our clients' personal and financial information. Our data protection measures include:

• Secure data encryption technologies
• Regular security audits and assessments
• Strict access controls and authentication procedures
• Data retention and disposal policies
• Compliance with applicable privacy laws

Trading Practices

We maintain fair and transparent trading practices to ensure the integrity of our platform and protect our clients' interests:

• No dealing desk intervention in client trades
• Transparent pricing and execution policies
• Segregated client funds management
• Regular auditing of trading systems
• Conflict of interest management procedures

Financial Controls

Our financial controls framework ensures proper management of funds and compliance with financial reporting requirements:

• Segregation of client and company funds
• Regular financial audits by independent auditors
• Capital adequacy monitoring
• Risk management protocols
• Transparent fee and commission structures

Client Asset Protection

We implement robust measures to protect client assets:

• Segregated account structures
• Insurance coverage for client funds
• Regular account reconciliations
• Transparent reporting of client balances
• Clear procedures for fund withdrawals

Complaints Handling

We have established procedures for handling client complaints fairly and efficiently:

• Dedicated complaints handling team
• Clear escalation procedures
• Timely response requirements
• Regular review of complaints data
• Continuous improvement of services

Staff Training and Competence

Our compliance culture is supported by comprehensive staff training:

• Regular compliance training programs
• Role-specific regulatory education
• Ongoing professional development
• Ethics and conduct guidelines
• Regular assessment of staff competence

Monitoring and Reporting

We maintain robust monitoring and reporting systems:

• Regular compliance monitoring
• Internal audit functions
• Regulatory reporting obligations
• Management information systems
• Incident reporting procedures

Continuous Improvement

Our compliance framework is continuously reviewed and enhanced:

• Regular policy updates
• Adaptation to regulatory changes
• Feedback from regulatory reviews
• Industry best practice adoption
• Technology upgrades for compliance systems

Contact Our Compliance Team

If you have any questions about our compliance practices or wish to report a compliance concern, please contact our Compliance Officer:

Email: compliance@rivertonmarkets.com

Phone: +1 (800) 555-0199

Address: Compliance Department, Riverton Markets, 123 Financial District, New York, NY 10001