Introduction Castrum Capital (“the Fund”) is committed to maintaining robust Know Your Customer (KYC) and Anti-Money Laundering (AML) practices to foster a secure and transparent investment environment. While the Fund takes internal measures to align with industry standards, it operates independently of any specific regulatory authority and does not assume any formal legal obligations with respect to KYC or AML regulations. This policy outlines the approach taken by the Fund in handling these matters, with a focus on risk management rather than external compliance.
KYC Procedures
The Fund encourages thorough identity verification for its Liquidity Providers (LPs) and investors to uphold integrity within its operations. This may involve requesting identification documents, proof of residence, and other forms of verification. These measures are implemented as part of the Fund’s internal due diligence processes.
While these practices aim to contribute to a secure investment framework, it is important to note that the Fund does not represent itself as being subject to any regulatory KYC requirements. Participation in the Fund is based on the investor’s willingness to comply with these requests, and the Fund’s internal processes are designed for operational transparency rather than for fulfilling specific legal or regulatory mandates.
AML Procedures
To minimize the risk of illicit financial activities, the Fund has instituted procedures designed to identify and manage potential risks associated with money laundering. These procedures may include transaction monitoring and internal reporting protocols aimed at protecting the Fund’s operations.
However, it should be understood that the Fund’s AML measures are not subject to oversight by any regulatory body, and are implemented at the Fund’s discretion. These actions are intended solely for risk management purposes, and the Fund does not claim adherence to any external AML compliance obligations.
Non-Regulatory Status of the Fund Castrum
Capital is not registered or regulated by any financial authority, and therefore, it is not legally bound by any specific KYC or AML regulatory frameworks. The Fund’s approach to KYC and AML is for internal safeguarding purposes and should not be interpreted as fulfilling any statutory requirements. The Fund’s investors should understand that participation does not include protections typically associated with regulated financial entities.
LP Representative and/or LP Member Acknowledgment
By participating in the Fund, all LP Representatives and/or LP Members expressly acknowledge and agree to the following:
- The Fund operates independently of any legal or regulatory body concerning KYC or AML compliance.
- Any KYC and AML procedures undertaken by the Fund are for internal risk management purposes only, and the LP Representative and/or LP Members are responsible for assessing their own compliance requirements.
- The LP Representative and/or LP Members accept that participation in the Fund carries associated risks and does not involve formal regulatory protection.