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Compliance

Last updated: December 2024

Regulatory Framework

Morgul operates under a comprehensive regulatory framework across multiple jurisdictions, ensuring the highest standards of compliance and investor protection.

United States

  • SEC Registered Investment Adviser
  • CRD Number: 123456
  • Form ADV Filed
  • FINRA Oversight

United Kingdom

  • FCA Authorized Firm
  • FRN: 789012
  • CASS Compliant
  • PRA Regulated

Hong Kong

  • SFC Licensed Corporation
  • CE Number: 345678
  • Type 9 License
  • HKMA Oversight

Investment Approach

Important Notice: Morgul is a private family office that invests proprietary capital. We do not raise funds from external investors or operate traditional investment funds.

  • All investments are made with family capital
  • No external fundraising or marketing to public investors
  • Partnerships limited to referral-based relationships
  • No fund management fees or carried interest structures

Compliance Policies

Anti-Money Laundering

Comprehensive AML/KYC procedures including customer due diligence, ongoing monitoring, and suspicious activity reporting.

Conflicts of Interest

Robust policies to identify, manage, and disclose potential conflicts across all business activities and investments.

Data Protection

GDPR-compliant data handling procedures with strict controls on personal information collection and processing.

Market Conduct

Adherence to market abuse regulations, insider trading restrictions, and fair dealing principles.

Audit & Oversight

Independent Auditors

Annual audits conducted by Big Four accounting firm with specialized expertise in investment management.

Regulatory Examinations

Regular examinations by SEC, FCA, and SFC with clean compliance records and no material findings.

Internal Controls

Comprehensive internal control framework with quarterly testing and annual effectiveness assessments.

Legal Disclaimers

No Investment Advice: Nothing on this website constitutes investment advice, recommendations, or offers to sell securities. All content is for informational purposes only.

Private Placement: Any investment opportunities are offered exclusively through private placement to qualified investors in accordance with applicable securities laws.

Forward-Looking Statements: This website may contain forward-looking statements that involve risks and uncertainties. Actual results may differ materially from those projected.

Jurisdiction: This website is intended for use by persons in jurisdictions where such use is lawful. Users are responsible for compliance with local laws.

Compliance Contact

Chief Compliance Officer: Sarah Mitchell, CFA

Email: compliance@morgul.com

Phone: +1 (212) 555-1234 ext. 101

Address: 432 Park Avenue, 15th Floor, New York, NY 10016