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3. Compliance & Legal

Status: Active
Owner: Rex
Managed by: Rex
Last Edited: 2026-02-14

Regulatory compliance framework covering Swiss AML-CFT obligations, EU licensing, data protection, and legal agreements.

Purpose: Compliance documentation supporting PolyReg membership, ISO 27001 certification, regulatory inquiries, and legal risk management.

Risk areas: Regulatory non-compliance, AML-CFT failures, data breaches, contract disputes, audit findings.

Business process relevance: PolyReg audit, customer onboarding, transaction monitoring, regulatory reporting, partner contracting, data subject rights.

Review triggers: PolyReg rulebook updates, FINMA guidance, MiCA implementation, GDPR enforcement, audit findings, regulatory inquiries.

  • Regulatory Framework & Standards
  • Licenses, Approvals & Certificates
  • AML/CFT Program
  • Regulatory Correspondence & Reporting
  • Audit & Assessment Reports
  • Data Protection & Privacy
  • Contracts & Legal Agreements