REGULATION ROYAL FINANCIAL TRADING (ROYAL) is built on sound principles of trust, transparency, ethics, and stability. To this end, Royal makes certain it is always in a position to serve its clients to the best of its capabilities under the full supervision of the regulatory authorities in our areas of operation. ROYAL is licensed by the Australian Securities and Investments Commission (ASIC) and holds an Australian Financial Services Licence (AFSL # 420268) as required by the Corporations Act 2001 being that we are an Australian business involved in the provision of financial services. Being regulated by ASIC provides a sound framework for ROYAL to practice its transparent business model while fully preserving the rights of our clients.
SECURITY OF FUNDS ROYAL treats its clients’ accounts and funds with the utmost level of responsibility. All our clients’ trading accounts are maintained independently of each other and each client trades on a trading account assigned and labeled to him or her. All client funds are held in client segregated trust accounts that ensure that funds are completely separated from company operational funds and reserves. ROYAL will never use any client funds for operational or corporate purposes as dictated by the law Due to our regulation obligations, Royal maintains risk management systems and internal control functions to ensure company financials consistently meet regulatory requirements and liquidity levels. ROYAL abides by all local financial laws and regulations related to the offering of authorised financial products to clients. We also comply with regulation mandates that all internal controls and processes must be sufficient to mitigate risks the firm may be exposed to, whilst protecting our clients' best interests at the same time. All clients can withdraw any or all of their funds from their trading accounts at any time without any delay as long as said withdrawals are requested within operating hours.
ANTI-MONEY LAUNDERING (AML) ROYAL is committed to practicing a clean business model which includes only accepting clients and funds that adhere to strict Anti-Money Laundering conditions. All clients are cross checked on both an Operations and Compliance level against local and international watch lists prior to account approval. This includes due diligence on the identity of the client, the client’s profession, source of funds and method of deposit. In addition, our Chief Compliance Officer ensures that all clients are classified with a risk level which serves as an early warning system against any illegal conduct related to money laundering. Furthermore, all financial transactions are periodically and thoroughly screened to identify any suspicious behavior that might pose a risk to the firm and our clients. In the event of any suspicions about the activities of a certain client, additional documentation related to the client's profession and sources of funds are requested to remove any suspicions of wrongdoing. Aside from our Compliance Unit, Royal has instilled in all its staff members a sense of regulatory responsibility by way of comprehensive training on Board mandated Policies and Procedures that govern daily operations as well as intensive coaching on the Anti-Money Laundering and Counter Terrorism Finance (AML/CTF) Manual that guides our AML efforts. This allows ROYAL to reject any account applications that do not meet our high standards of AML, protecting the firm and our clientele from any regulatory transgressions.
CORPORATE GOVERNANCE ROYAL, through its Board of Directors and Management firmly believes in the principle of strong and capable Corporate Governance in order to sustain the company's growth, in an attempt to provide more and more aspiring investors with exemplary service in the financial markets. This method of governance aims to improve corporate performance on all fronts through the projection of fair business, transparency and ethical dealing in all our activities. This includes the continuous training and education of all our staff and members of management in order to maintain a high level of professionalism in all aspects of our client oriented services. In addition, all company activities are undertaken under a blanket of internal controls meant to protect the firm from any operational risk that may result and which would jeopardize the firm's ability to continue offering superior financial services. With our sound governance, we hope to inspire our clients with the same confidence that has allowed ROYAL to grow and place itself at the forefront of the regional financial services industry.
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