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  1. Legal
  2. /Compliance Policy

Compliance Policy

Controls for identity, sanctions, financial operations, records, and conduct.

Document type
Information policy
Category
Company and regulation
Version
2026-08-24
Effective
August 24, 2026
Issued by
Ohana Capital AG
On this page12 sections
  1. 1Purpose and status
  2. 2Risk-based control framework
  3. 3Customer due diligence
  4. 4Financial-crime prevention
  5. 5Sanctions and restricted activity
  6. 6Market and platform integrity
  7. 7Funding and withdrawal controls
  8. 8Data protection and security
  9. 9Records and retention
  10. 10Third-party providers
  11. 11Concerns, cooperation, and review
  12. 12Operational frameworks

1. Purpose and status#

This policy describes the compliance controls applied to the Ohana Capital platform. It is informational and does not replace the Terms of Service, product terms, professional legal advice, or obligations imposed by applicable law.

Company registration does not by itself represent a financial-services license. Product and jurisdiction availability should not be interpreted as a claim of authorization by a regulator unless a specific authorization is separately identified.

Current financial activity is recorded within the platform ledger. Ahead of live launch, Ohana Capital does not provide custody or route live orders, and no internal workflow is presented as an authorised financial service.

2. Risk-based control framework#

Controls are selected according to the account, product, jurisdiction, transaction, provider, and identified risk. The framework may include:

  • Identity and document verification
  • Source-of-funds and account-purpose information
  • Sanctions, watchlist, and risk screening
  • Funding, withdrawal, transaction, and account-event review
  • Escalation, restriction, investigation, and record keeping
  • Legal, privacy, security, and product acceptance records

The scope and timing of a control may vary. Completion of a check does not guarantee continuing access to every product or service.

3. Customer due diligence#

3.1 Identity verification#

Users may be required to provide:

  • Legal name, date of birth, country, and residential address
  • Government-issued photo identification
  • Proof of address or other corroborating information
  • Tax, employment, occupation, and account-purpose information
  • Source-of-funds or source-of-wealth information where relevant
  • Corporate ownership and control information for business relationships

Documents may be checked for validity, consistency, authenticity indicators, and risk signals.

3.2 Enhanced review#

Additional information or review may be required for higher-risk circumstances, including material inconsistencies, unusual funding, higher-risk jurisdictions, complex ownership, sanctions exposure, or politically exposed persons.

Politically exposed persons are not described as automatically prohibited by this policy; they may require enhanced due diligence and approval where service is legally permitted.

4. Financial-crime prevention#

The platform may use risk-based measures intended to identify and respond to money laundering, terrorist financing, fraud, sanctions evasion, identity misuse, and other prohibited activity.

Measures may include:

  • Screening submitted identity and account information
  • Reviewing transaction patterns and rapid movement of funds
  • Comparing funding sources and withdrawal destinations
  • Restricting activity pending verification or investigation
  • Requesting explanations and supporting records
  • Reporting information where a valid legal obligation applies

We do not disclose confidential monitoring rules, thresholds, or investigative methods.

5. Sanctions and restricted activity#

Services may be declined, limited, suspended, or terminated where a person, entity, jurisdiction, transaction, or activity is prohibited by applicable sanctions, provider restrictions, or law.

Users may not use the platform to conceal beneficial ownership, evade a restriction, transact for an undisclosed third party, or provide false information about a payment or destination.

6. Market and platform integrity#

Conduct that may harm users, markets, or platform integrity is prohibited, including:

  • Fraud, misrepresentation, and account impersonation
  • Manipulation, wash activity, spoofing, or coordinated abuse
  • Use of confidential information contrary to applicable law
  • Circumvention of order, funding, withdrawal, promotion, or risk controls
  • Unauthorized automated access or interference with platform systems

Potential violations may result in order rejection, account restrictions, preservation of relevant records, or referral where legally required.

7. Funding and withdrawal controls#

Deposits and withdrawals may be reviewed for account ownership, identity status, transfer references, available funds, reserved obligations, suspicious activity, and consistency with the account profile.

A request can remain pending, be returned, or require additional information. Product-specific restrictions, including an accepted liquidity advance or fixed term, may also affect availability.

8. Data protection and security#

Compliance processing uses personal information as described in the Privacy Policy. Access to identity, transaction, acceptance, and security records is restricted according to operational role and system permissions.

Controls may include encryption, authenticated access, event recording, optional multi-factor authentication, and monitoring intended to detect unauthorized activity. This policy does not claim a certification, audit result, or testing program that is not separately documented.

9. Records and retention#

Records may be maintained for:

  • Identity verification and account-risk decisions
  • Orders, positions, deposits, withdrawals, and account events
  • Legal-document and cookie choices
  • Support, investigation, and security communications
  • Restrictions, escalations, and legally required reports

Retention depends on the record, service, account status, investigation, provider, and applicable legal requirement. Access is limited to legitimate operational, security, legal, and support purposes.

10. Third-party providers#

Identity, banking, market-data, infrastructure, communications, and support providers may be reviewed before and during use. The level of review depends on the service, data access, operational importance, and identified risk.

Provider use does not transfer a user's obligations or eliminate risks created by outages, errors, financial failure, or changing provider restrictions.

11. Concerns, cooperation, and review#

Users and staff should report suspected fraud, account misuse, security incidents, or compliance concerns through an appropriate support or compliance channel. Reports are assessed according to available information and applicable obligations.

This policy is reviewed when material product, legal, provider, or control changes require an update. A new public version and effective date are used for material revisions.

12. Operational frameworks#

Detailed operating materials include:

  • AML and KYC Procedures — document types, CRM review, age gate, monitoring program
  • Client Money and Custody Framework — client-money safeguards and launch requirements
  • Execution and Liquidity Framework — order workflows and live-execution requirements
  • Data Processing and Vendor Schedule — processors in use
  • Insurance, Retention, and Escalation Schedule — escalation clocks and retention
  • Entity and Licensing Scope — entity identity and market authorization
  • Jurisdictional Disclosures — CH / EU / UK / US themes

Questions about this document?

Contact Ohana Capital AG and include the document title and version in your message.

Contact support

Related documents

Account agreements

  • Service Relationship Summary
  • Terms of Service
  • Privacy Policy
  • Cookie Policy

Risk and product disclosures

  • Risk Disclosure
  • Margin and Leverage Disclosure
  • Staking and Savings Terms
  • Liquidity Advance Terms

Client protection

  • Complaints Policy
  • Client Money and Custody Framework
  • Insurance, Retention, and Escalation Schedule

Company and regulation

  • Entity and Licensing Scope
  • Jurisdictional Disclosures
  • AML and KYC Procedures

Platform and data operations

  • Execution and Liquidity Framework
  • Market Data Notice
  • Data Processing and Vendor Schedule
  • Business Continuity Plan Summary

Version 2026-08-24 · Effective August 24, 2026

© 2026 Ohana Capital AG. All rights reserved.

On this page

  1. 1Purpose and status
  2. 2Risk-based control framework
  3. 3Customer due diligence
  4. 4Financial-crime prevention
  5. 5Sanctions and restricted activity
  6. 6Market and platform integrity
  7. 7Funding and withdrawal controls
  8. 8Data protection and security
  9. 9Records and retention
  10. 10Third-party providers
  11. 11Concerns, cooperation, and review
  12. 12Operational frameworks

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OHANA CAPITAL

Ohana Capital AG · Strehlgasse 27, 8001 Zürich · UID CHE-114.729.131

Important information

  1. Ohana Capital AG is a Swiss corporation registered in the commercial register of the Canton of Zürich (UID CHE-114.729.131). Commercial registration does not by itself authorise the offer of financial services. Ohana Capital does not hold a banking, securities-firm, or investment-firm licence in any jurisdiction unless that authorisation is listed in the Jurisdictional Disclosures and the Entity and Licensing Scope.
  2. Ohana Capital does not currently hold customer assets in custody or route orders to a live execution venue. Balances, positions, fills, and returns shown on the platform are records of platform activity; they are not proof of segregated client assets and are not protected by a deposit-guarantee or investor-compensation scheme. See Client Money and Custody.
  3. Fees, spreads, financing charges, and other costs depend on the product, account, and order and are set out in Fees and Costs. Network, conversion, and third-party charges may also apply.
  4. Leveraged and margin-based trading is high risk. A small price movement can cause rapid or complete loss of the capital committed to a position, and in some products losses can exceed it. Margin calls, trade blocks, and liquidations are handled under the Margin and Leverage Disclosure.
  5. Displayed APY, APR, rewards, and maturity values for staking and fixed-term savings are product parameters for the selected asset and term, not a guarantee of future performance unless expressly stated as fixed for a confirmed placement. Locked balances may be subject to unbonding periods, early-exit penalties, or forfeiture under the Staking and Fixed-Term Savings Terms.

Market information may be delayed, incomplete, or supplied by third parties and is provided for platform use only. Access to the platform may be limited or unavailable during peak demand, market volatility, maintenance, or system upgrades. Read the Risk Disclosure and Terms of Service before using platform services.

Risk warning:Trading carries a high level of risk, and you may incur a loss that is greater than the amount you invested. Past performance of any product described on this website is not a reliable indicator of future performance. Any information or advice on this website is general in nature and has been prepared without taking into account your objectives, financial situation or needs. Before acting on any information or advice on this website, you should consider whether it, and any relevant product, is appropriate to your circumstances, and we recommend that you seek independent advice if necessary. Please ensure that you fully understand the risks involved and take appropriate care to manage your risk. The information on this website is not directed at residents of any country or jurisdiction where its distribution or use would be contrary to local law or regulation.

© 2026 Ohana Capital AG. All rights reserved. Ohana Capital is the product and trading name used by Ohana Capital AG.

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