COMPLIANCE & RESPONSIBLE BUSINESS

Compliance First. Business Second.

At ORIENTIS Global Commodities Trade & Advisory, compliance is not a department—it is the foundation of every transaction we facilitate.

We operate under a strict framework of anti-money laundering controls, sanctions screening, counterparty due diligence, responsible sourcing principles, and international trade compliance standards. Our objective is to connect legitimate suppliers, buyers, refiners, and financial institutions.

Whether facilitating precious metals, energy products, or strategic commodities, ORIENTIS is committed to conducting business ethically, responsibly, and in accordance with applicable international laws and regulations.

Our Compliance Framework

ORIENTIS maintains a risk-based compliance program designed to meet the expectations of:

DMCC (Dubai Multi Commodities Centre)
UAE Anti-Money Laundering Regulations
OECD Due Diligence Guidance
FATF Recommendations
International Sanctions Regimes
Responsible Precious Metals Supply Chain Standards
International Trade Compliance Requirements

Our compliance procedures are continuously reviewed and updated to reflect evolving regulatory requirements and market risks.

About DMCC OECD Due Diligence

Anti-Money Laundering (AML) & Counter Terrorist Financing (CTF)

ORIENTIS maintains a comprehensive AML/CTF program designed to prevent the use of our business activities for money laundering, terrorist financing, fraud, corruption, or other illicit conduct.

Our procedures include:

✓ Customer Due Diligence (CDD)

✓ Enhanced Due Diligence (EDD) for higher-risk counterparties

✓ Beneficial Ownership Verification

✓ Source of Funds Verification

✓ Politically Exposed Person (PEP) Screening

✓ Ongoing Transaction Monitoring

✓ Suspicious Activity Escalation Procedures

✓ Sanctions and Watchlist Screening

We reserve the right to decline or terminate any business relationship that does not meet our compliance standards.

Know Your Customer (KYC) Program

All counterparties must successfully complete our onboarding process before any commercial discussions progress to transaction execution.

Typical KYC requirements include:

Certificate of Incorporation
Trade License
Corporate Structure Chart
Ultimate Beneficial Ownership Declaration
Director and Authorized Signatory Identification
Banking Information
Proof of Operational Capacity
Compliance Certifications (where applicable)

No transaction proceeds without satisfactory KYC review.

Responsible
Precious
Metals Sourcing

For precious metals transactions, ORIENTIS applies a risk-based due diligence framework aligned with internationally recognized responsible sourcing principles.

We seek to work exclusively with suppliers who can demonstrate:

Legal ownership of commodities
Valid mining, trading, or export licenses
Traceable supply chains
Compliance with local and international regulations
Responsible sourcing practices
Absence of conflict financing concerns

Where appropriate, independent verification, assay reports, export documentation, and chain-of-custody records may be required.

Compliance Documentation

Subject to satisfactory preliminary KYC and legitimate business purpose, ORIENTIS may provide qualified counterparties with selected compliance documentation, including: