Compliance

Regulated. Verified. Trusted.

At Claraphi Advisory Network, compliance is not just a requirement — it is our foundation. As a fully regulated U.S. financial services firm, we uphold strict adherence to global regulatory standards to ensure client protection, market integrity, and operational transparency.

We are one of the few fintech firms globally to be concurrently registered under:

  • SEC (Securities and Exchange Commission)
  • CIK (Central Index Key)
  • CRD (Central Registration Depository)

Regulatory Licenses & Disclosures

SEC Registration

Registered with the U.S. Securities and Exchange Commission as an investment adviser and broker-dealer, Claraphi is subject to the Investment Advisers Act of 1940 and all applicable securities laws.

CIK & EDGAR Compliance

Our Central Index Key (CIK) allows public reporting and disclosure of filings through the EDGAR system. This ensures full transparency of material updates, risk statements, and regulatory correspondence.

CRD/FINRA Certification

Through CRD registration, our licensed professionals are subject to background screening, industry disclosures, and continuing education requirements under FINRA governance.

Four-Eyes Compliance Framework

Claraphi employs a dual-tier compliance system, known internally as the Four-Eyes Oversight Mechanism, overseen by a 12-member legal and regulatory affairs team — including former SEC officials and audit leads.

  • Pre- and post-trade review of all algorithmic activity
  • Automated AML/CTF monitoring with real-time alerting
  • Daily reconciliation of assets, positions, and counterparties
  • Internal compliance audit every 90 days
  • KYC/EDD protocols aligned with FATF guidelines

Data Integrity & Cybersecurity

Your data is protected by military-grade infrastructure and certified data standards:

  • ISO/IEC 27001 Certified (Information Security Management System)
  • SOC 2 Type II Compliant
  • Data encryption at rest and in transit (AES-256)
  • Blockchain-based audit trail (CFTC Rule 1.31(d) compliant)
  • Automated order logging for MiFID II RTS 27/28 & SEC Rule 17a-4

Asset Protection & Custodial Oversight

Client assets are fully segregated and held in custodial accounts with major global banks including J.P. Morgan, Standard Chartered, and regulated Taiwanese counterparties.

Daily Value-at-Risk (VaR) stress tests ensure exposure limits remain within institutionally defined tolerances.

Accounts are subject to monthly reconciliation and independent custodial audits.

Ethics, Transparency, and Sustainability

Claraphi is committed to going beyond compliance to uphold ethical finance and responsible capital deployment. We embed ESG principles into our trading infrastructure and offer transparency in:

  • Fee structures
  • Algorithmic strategies
  • Execution audits
  • Sustainability impact reporting (aligned with UN SDGs)

Our Compliance Pledge

Compliance is not a checkmark — it's a covenant.

— Claraphi Regulatory Committee

At Claraphi, we hold ourselves to a higher standard — because trust is earned not through promises, but through governance, consistency, and verification.

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Compliance

Disclaimer

The information provided on this website is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any securities or financial instruments. Claraphi Advisory Network, LLC is a U.S. registered financial services firm licensed under SEC, CIK, and CRD regulatory frameworks. Investments involve risks, including possible loss of principal. Past performance is not indicative of future results.

Nothing on this site should be construed as financial, investment, legal, or tax advice. All users are encouraged to consult with qualified professionals before making any financial decisions. Claraphi Advisory Network, LLC does not guarantee the accuracy or completeness of information presented and assumes no liability for errors, omissions, or outcomes related to the use of this website.

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