Regulatory Compliance & Licensing
Last updated: April 25, 2025
Evermount Capital is committed to maintaining the highest standards of regulatory compliance across all jurisdictions in which we operate. This page outlines our regulatory framework, licensing, and compliance commitments.
1. Regulatory Framework
Evermount Capital operates in compliance with applicable financial services regulations in the jurisdictions where we provide services. Our regulatory compliance framework includes:
- Securities and Exchange Commission (SEC) regulations (where applicable)
- Financial Conduct Authority (FCA) standards (UK/EU)
- Capital Markets Authority (CMA) regulations (Kenya)
- Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) laws
- General Data Protection Regulation (GDPR) and data protection laws
- Payment Services regulations
- Consumer protection laws
2. Licensing & Authorizations
Technology Platform License
Evermount Capital operates as a technology platform providing investment management tools and analytics. Our platform services are provided under appropriate technology and software licensing frameworks.
Investment Services
Investment services may be provided through licensed third-party entities or partnerships with regulated financial institutions, depending on jurisdiction and service type.
Payment Processing
Payment processing services are provided through licensed payment service providers and financial institutions that maintain appropriate regulatory authorizations.
3. Compliance Programs
- AML/CTF Compliance: Comprehensive anti-money laundering and counter-terrorism financing program with customer due diligence, transaction monitoring, and suspicious activity reporting.
- KYC Procedures: Know Your Customer (KYC) verification for all users, including identity verification, address verification, and source of funds checks where required.
- Data Protection: GDPR, CCPA, and other data protection law compliance with appropriate technical and organizational measures.
- Client Asset Protection: Segregation of client funds, appropriate custody arrangements, and protection of client assets.
- Conflict of Interest Management: Policies and procedures to identify, manage, and disclose conflicts of interest.
- Best Execution: Policies to ensure best execution of client orders where applicable.
- Complaints Handling: Formal complaints handling procedures and escalation processes.
4. Regulatory Reporting & Disclosure
We maintain appropriate regulatory reporting and disclosure obligations, including:
- Regular regulatory filings and notifications
- Suspicious activity reports to financial intelligence units
- Client money and asset reporting
- Incident reporting to regulators
- Annual compliance certifications and audits
- Transparent disclosure of fees, risks, and terms
5. Regulatory Monitoring & Updates
We continuously monitor regulatory developments and update our policies, procedures, and systems to ensure ongoing compliance. Our compliance team works closely with legal advisors and regulatory consultants to stay abreast of changes in applicable laws and regulations.
6. Investor Protection
While we maintain appropriate safeguards, investors should be aware that:
- Investments are not covered by deposit insurance schemes
- Investments are not guaranteed by any government or regulatory body
- Investors may lose their entire investment
- Past performance does not guarantee future results
- Investors should carefully review all risk disclosures
7. Regulatory Contact Information
Legal Department
Email: legal@evermount.co
Disclaimer: This page provides general information about our regulatory compliance framework. Specific regulatory requirements may vary by jurisdiction and service type. Investors should consult with qualified advisors regarding regulatory matters in their jurisdiction.