Compliance & Regulation
Our commitment to transparency, security, and regulatory excellence
Our Commitment to Compliance
At CoreVestP, we operate with the highest standards of regulatory compliance, transparency, and security. We are committed to protecting our clients' interests while adhering to all applicable laws and regulations in the jurisdictions where we operate.
Fully Licensed
Multi-jurisdictional
Regular Audits
Quarterly & Annual
100% Transparent
Real-time Reporting
Regulatory Licenses & Registrations
CoreVestP holds licenses and registrations with major financial regulatory authorities worldwide:
United States
• FinCEN MSB Registration: #31000234567890
• SEC Registered Investment Advisor (RIA)
• FINRA Member Firm (CRD #305678)
• Money Transmitter License in 48 states
European Union
• EMI License (Bank of Lithuania): #LB002456
• GDPR Compliant Data Controller
• PSD2 Compliant Payment Services
• Virtual Asset Service Provider (VASP) Registration
Asia Pacific
• Singapore MAS License (CMS)
• Hong Kong SFC Type 1,4,9 Licenses
• Australian DCE Registration: #AUS123456
• Japan FSA Registered Crypto Exchange
AML & KYC Framework
Our Anti-Money Laundering (AML) and Know Your Customer (KYC) program exceeds regulatory requirements:
Identity Verification
- ✓ Government ID verification
- ✓ Proof of address validation
- ✓ Biometric authentication optional
- ✓ Ongoing transaction monitoring
Transaction Monitoring
- ✓ Real-time suspicious activity detection
- ✓ Automated sanctions screening
- ✓ Large transaction reporting
- ✓ Behavioral analysis algorithms
Risk Assessment
- ✓ Customer risk scoring (Low/Medium/High)
- ✓ Country risk assessment
- ✓ Product/service risk evaluation
- ✓ Enhanced Due Diligence (EDD)
Regulatory Reporting
- ✓ Suspicious Activity Reports (SARs)
- ✓ Currency Transaction Reports (CTRs)
- ✓ Annual AML compliance audit
- ✓ Regulator-mandated reporting
Learn More: View our detailed AML Policy and KYC Procedures.
Security & Data Protection
Data Protection
- GDPR Compliant (EU)
- CCPA Compliant (California)
- LGPD Compliant (Brazil)
- Data Protection Officer appointed
- Regular data protection impact assessments
Cybersecurity
- 256-bit SSL/TLS encryption
- Multi-signature wallet infrastructure
- 95% assets in cold storage
- 24/7 SOC monitoring
- Regular penetration testing
Audits & Financial Oversight
We maintain rigorous financial oversight and submit to regular independent audits:
Financial Statement Audits
Annual GAAP audit by Deloitte & Touche LLP - Last audit: December 2024
Proof of Reserves
Monthly Merkle tree attestation - 1:1 asset backing verified by Chainalysis
Security Audits
Quarterly penetration testing by Trail of Bits and Halborn Security
Compliance Audits
Semi-annual AML/KYC compliance review by ComplyAdvantage
Industry Certifications
SOC 2 Type II
Certified 2024
ISO 27001
Information Security
PCI DSS Level 1
Payment Security
CIPM Certified
Privacy Management
Insurance Coverage
Crime Insurance
$100 million coverage for digital assets held in custody
FDIC Insurance
$250,000 coverage for USD cash balances
Cyber Liability
$10 million cybersecurity and data breach insurance
Professional Indemnity
$5 million errors & omissions coverage
Regulatory Reporting & Disclosures
We regularly file reports with regulatory authorities including:
- FinCEN Suspicious Activity Reports
- SEC Form ADV & ADV-P
- Quarterly Transaction Reports
- Annual Financial Statements
- FATCA/CRS Reports
- Privacy Policy Updates
Our Compliance Leadership
Sarah Johnson
Chief Compliance Officer (CCO)
Former FINRA examiner, 15+ years experience
Michael Chen
AML Officer
CAMS certified, ex-Bank of America
Report Compliance Violations
We take compliance violations seriously. If you suspect any misconduct or wish to report a concern:
Email: support@corevestp.org (Confidential)
Secure Portal: corevestp.org
All reports are treated confidentially. Retaliation against whistleblowers is strictly prohibited.
Need Compliance Documentation?
Request our compliance certificates, audit reports, or regulatory filings