Compliance and Regulation

Accredited Investor

An accredited investor is an investor who meets specific legal criteria under the rules of a particular jurisdiction. Depending on the jurisdiction...

Anti Money Laundering (AML)

Anti Money Laundering, usually shortened to AML, refers to laws, controls and procedures designed to prevent financial systems from being used to d...

Compliance

Compliance is the process of operating in accordance with applicable laws, regulations, rules and internal requirements. In RWA markets, this can i...

Custodian

A custodian is an organization responsible for safeguarding assets on behalf of clients or investment structures. Depending on the asset, custody m...

Customer Due Diligence (CDD)

Customer Due Diligence, usually shortened to CDD, refers to processes used to understand and assess a customer as part of a financial relationship....

Disclosure

Disclosure is the provision of information that investors or other market participants need or are legally entitled to receive about an investment,...

Identity Verification

Identity verification is the process of checking that a person or organization is who they claim to be. Depending on the situation, this may involv...

Investor Eligibility

Investor eligibility refers to the requirements a person or organization must satisfy before being allowed to participate in a particular investmen...

Know Your Business (KYB)

Know Your Business, usually shortened to KYB, refers to processes used to verify a business or other legal entity before entering into a financial...

Know Your Customer (KYC)

Know Your Customer, usually shortened to KYC, refers to processes financial businesses use to identify and verify their customers. This commonly in...

Permissioned Market

A permissioned market is a market in which participation is restricted to users or institutions that meet specified requirements. Participants may...

Prospectus

A prospectus is a formal disclosure document providing information about an investment offering, issuer and relevant risks. Whether a prospectus is...

Qualified Custodian

A qualified custodian is a custodian that meets particular legal or regulatory requirements under an applicable jurisdiction. Which institutions qu...

Qualified Investor

Qualified investor is a regulatory classification used in some jurisdictions for investors who meet specified eligibility requirements. The exact d...

Regulator

A regulator is a public authority or other legally empowered body responsible for overseeing particular markets, institutions or financial activiti...

Regulatory Jurisdiction

Regulatory jurisdiction refers to the legal and regulatory authority that applies to a financial activity, entity, product or transaction. An RWA s...

Regulatory License

A regulatory license is an authorization issued by a regulatory authority that allows an organization to conduct specified regulated activities, su...

Regulatory Sandbox

A regulatory sandbox is a framework through which eligible businesses can test innovative financial products, services or technologies under define...

Sanctions Screening

Sanctions screening is the process of checking customers, entities or transactions against applicable sanctions requirements and restrictions. The...

Securities Law

Securities law is the body of laws and regulations governing the issuance, offering, sale, trading and other activities involving securities. The e...

Transfer Agent

A transfer agent is an entity that performs record keeping and administrative functions relating to ownership and transfers of certain securities....

Whitelisting

Whitelisting is the process of approving specific users, accounts or blockchain addresses before allowing them to perform certain actions. In RWA m...