Compliance & security

Information security and compliance controls built into every AKS engagement — not added on request.

AKS delivers offshore research, analytics, and technology support to financial institutions operating under strict regulatory scrutiny. Our compliance framework — covering confidentiality, information security, ISO 27001 controls, access governance, and employee conduct — is embedded into the delivery model from day one. Not retrofitted. Not optional.

Core commitments

The compliance standards that underpin every client engagement

Our compliance framework is aligned with the operational and regulatory expectations of international financial-services institutions — including asset managers, investment banks, private equity firms, hedge funds, and consulting firms. Every control is designed to meet the standards these clients apply to their own regulated employees.

Client Confidentiality

Client data, investment strategies, analytical deliverables, and all supplied materials are isolated per engagement. Nothing is referenced, shared, repurposed, or disclosed outside the specific agreement — enforced through binding team obligations and documented protocols.

IP & Contractual Protection

All work product and intellectual property created during an engagement belongs exclusively to the client. Our standard terms provide strong contractual protections — no reuse, no repurposing, and no cross-client reference of any deliverable or methodology.

Market Conduct Standards

AKS applies financial-services conduct policies aligned with the expectations of regulated institutions — covering insider trading prevention, the handling of material non-public information (MNPI), market manipulation risks, and employee conduct obligations.

Security infrastructure

Controls designed for resilience, oversight, and business continuity.

Client data is safeguarded through dedicated, per-engagement storage systems and strict role-based access controls. Our security architecture incorporates both independent third-party oversight and internal audit disciplines — designed to support business continuity and resist both internal and external threats. Our controls already meet ISO 27001 certification standards, with formal certification in progress.

How governance works

A control environment built on structure, documentation, and accountability.

Policy Framework

Every engagement operates within documented standards covering information security, employee conduct, client confidentiality, and data handling — reviewed and updated on a structured cycle.

Access Control

Access to client data and systems is granted on a strict need-to-know basis. Permissions are documented, monitored, and revoked promptly when no longer required.

Monitoring & Audit

Regular internal reviews and third-party audits identify control gaps early, reinforce policy compliance, and provide a structured record of governance activity.

Escalation & Action

Any potential compliance issue is escalated through a defined governance process — ensuring rapid, documented responses and accountability at the appropriate level.

Regulated personal trading policies

Internal controls that support responsible, compliant employee conduct.

Employee trading activities are subject to internal restrictions and oversight designed to align with the regulatory expectations applicable to staff at financial-services organisations — including firms that regularly handle price-sensitive or material non-public information (MNPI).

Restricted List Controls

Securities on the internal restricted list — including those related to active client engagements — are off-limits for personal trading. Controls are applied systematically and without exception across all relevant team members.

Quarterly Disclosure

Employees submit trading account statements on a quarterly basis for compliance review. All transactions are logged, monitored, and assessed against applicable restrictions — creating a clear, documented audit trail for every engagement period.

Independent Verification

Employee transactions are subject to independent review where required. Our zero-tolerance approach to conduct breaches means issues are escalated, investigated, and resolved through a structured accountability process — consistent with regulated-entity standards.

Need an offshore partner that takes compliance as seriously as you do?

Let’s discuss a delivery model built around quality, confidentiality, and institutional-grade operational controls.