Vault Capital is committed to the highest standards of regulatory compliance, transparency, and investor protection.
Vault operates in full compliance with all applicable securities laws and regulations. We maintain licenses and registrations with relevant financial authorities, including the SEC and state-level financial regulators. Our compliance team continuously monitors regulatory changes to ensure our operations remain aligned with evolving requirements.
We implement comprehensive Anti-Money Laundering (AML) and Know Your Customer (KYC) procedures to detect and prevent financial crimes. All customers are subject to identity verification, source of funds verification, and ongoing customer due diligence. We maintain detailed transaction records and file Suspicious Activity Reports as required by law.
We adhere to stringent data protection regulations including GDPR, CCPA, and other applicable privacy laws. Your personal and financial information is protected by military-grade encryption, multi-factor authentication, and strict access controls. We never share your data without explicit consent, except as required by law.
Our comprehensive risk management framework identifies, assesses, and mitigates investment and operational risks. We maintain capital reserves exceeding regulatory minimums, conduct regular stress testing, and implement controls to protect against fraud, system failures, and market disruptions.
Vault maintains detailed records of all transactions and client activities. We provide regular reporting to regulatory authorities as required by applicable laws and regulations. Client statements are provided quarterly and include detailed performance data, fees, and transaction history. We maintain memorialized supervisory review files and ensure all documentation meets regulatory standards.
Client assets are held in segregated accounts with qualified custodians and are not commingled with Vault's corporate funds. We maintain errors and omissions insurance and fidelity bonds to protect against operational risks. Our investment recommendations are based on suitability analysis considering each client's financial situation, investment objectives, and risk tolerance.
Vault engages independent auditors to conduct annual financial audits and compliance examinations. Our compliance department conducts ongoing reviews and training programs to ensure all employees understand and follow regulatory requirements. We promptly investigate potential violations and implement corrective actions as needed.
Self-regulatory organization overseeing securities firms
Federal agency regulating securities markets and exchanges
Anti-money laundering enforcement and oversight
For compliance inquiries, please contact:
Compliance Department
compliance@vaultcapital.bond