Regulatory Checklists

Regulatory Checklists

Internal compliance checks for:

EU Investors

• KYC

• AML

• Appropriate category classification

• Offering documentation delivered

UAE Investors

• AML under FSRA rules

• Restrictions depending on marketing region

• Categorisation (Retail / Professional)

US Investors

• Accreditation documentation

• Reg D compliance

• Restricted transfer rules

---

Liquidity Window SOP

Quarterly liquidity events are high-stakes operations that must run flawlessly.

Step 1 — Preparation Phase

Teams involved:

• Marketplace Team

• Tokenisation Team

• Compliance

• Engineering

Actions:

• Publish founder quarterly updates

• Review AVM valuation

• Confirm token supply and restrictions

• Announce trading window schedule

Step 2 — Opening the Window

Engineering Team:

• Unlock trading functions

• Set maximum/minimum price range

• Enable P2P matching engine

Marketplace Team:

• Notify investors

• Monitor demand and bids

Compliance Team:

• Monitor suspicious behavior

• Verify all traders are KYC cleared

Step 3 — Active Trading

Responsibilities:

• Flag unusual price movement

• Ensure fair access

• Maintain operational uptime

• Troubleshoot trades

Tokens settle instantly on-chain.

Step 4 — Close the Window

Engineering Team:

• Lock smart contracts

• Log final price

• Archive trade data

Marketplace Team:

• Publish liquidity summary

• Notify founders and investors

Compliance Team:

• Report if any suspicious trades detected