Risk Management and Compliance

At Prizm Asset Management SAM, risk management, regulatory compliance and ethical conduct are fundamental to the way we operate.

As an investment firm authorized and supervised by the Commission de Contrôle des Activités Financières (CCAF), we are committed to conducting our business in accordance with the highest regulatory and professional standards.

Our Anti-Money Laundering and Counter-Terrorist Financing (AML/CFT) framework is overseen by the Autorité Monégasque de Sécurité Financière (AMSF). We maintain comprehensive internal policies, procedures and controls designed to ensure compliance with all applicable AML/CFT and sanctions requirements.

Our compliance framework includes, among others:

· Anti-Money Laundering and Counter-Terrorist Financing (AML/CFT)

· Client Due Diligence (CDD) and Know Your Customer (KYC)

· Risk Management and Internal Controls

· Conflicts of Interest Management

· Regulatory Monitoring

· Ongoing staff training and awareness

Compliance is embedded throughout our organization. Every member of our team shares responsibility for maintaining our control environment and ensuring that our activities are conducted with integrity, transparency and professionalism.

By combining strong governance with robust internal procedures, we seek to protect our clients' interests while meeting the highest regulatory expectations.