European Investment Platform Compliance
Aurum Ascend operates under strict European financial regulations with institutional-grade security and compliance standards
European Investment Services
Aurum Ascend operates as a licensed investment platform under European financial regulations, ensuring institutional-grade investor protection and market compliance.
Institutional Security Standards
Independently audited SOC 2 Type II compliance ensures institutional-grade security, data protection, and operational controls for growth-stage investment platform operations.
Regulatory Framework
Aurum Ascend B.V. operates under comprehensive regulatory oversight to ensure investor protection and market integrity:
- Dutch Financial Markets Authority (AFM) - Licensed investment firm
- FINRA Member - Registered broker-dealer in the United States
- MiFID II Compliance - European investment services regulation
- GDPR Compliant - Data protection and privacy standards
- Anti-Money Laundering (AML) - KYC and transaction monitoring
Investor Protection
We implement multiple layers of investor protection including client segregation, professional indemnity insurance, and participation in investor compensation schemes as required by applicable regulations.
Compliance Monitoring
Our compliance program includes regular audits, transaction monitoring, employee training, and reporting to regulatory authorities as required.
Contact Compliance
For compliance-related inquiries or to report concerns:
Email: compliance@aurumascend.ch
Phone: +44 7537 126467