Anti-Money Laundering & Financial Crime Prevention Statement
Apolonia Capital Financial Consultation & Financial Analysis LLC
1. Commitment to Financial Crime Prevention
Apolonia Capital Financial Consultation & Financial Analysis LLC (“Apolonia Capital”, “the Firm”) is committed to maintaining the highest standards of integrity, transparency, and regulatory compliance in all its business activities.
The Firm maintains a zero-tolerance policy toward financial crime, including money laundering, terrorist financing, fraud, corruption, bribery, sanctions violations, and other illicit financial activities.
Apolonia Capital has implemented comprehensive policies and internal controls designed to detect, prevent, and report suspicious financial activities in accordance with applicable regulatory requirements.
2. Regulatory Compliance
Apolonia Capital Financial Consultation & Financial Analysis LLC is licensed and regulated by the Capital Markets Authority (CMA) of the United Arab Emirates (formerly the Securities and Commodities Authority – SCA).
The Firm operates in compliance with applicable UAE Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) regulations, including but not limited to:
- UAE Federal Decree-Law No. 20 of 2018 on Anti-Money Laundering and Combating the Financing of Terrorism
- Cabinet Decision No. 10 of 2019 concerning the Implementing Regulation of AML/CFT Laws
- Relevant guidelines issued by the Capital Markets Authority (CMA)
- International standards issued by the Financial Action Task Force (FATF)
The Firm is committed to maintaining a robust risk-based AML/CFT framework in line with international best practices.
3. Risk-Based AML Framework
Apolonia Capital adopts a risk-based approach to financial crime prevention, which includes:
- Customer due diligence procedures
- Risk assessment of clients and counterparties
- Ongoing monitoring of business relationships
- Enhanced due diligence for higher-risk clients or transactions
- Record-keeping and internal reporting procedures
These measures are designed to ensure that the Firm maintains appropriate safeguards against financial crime risks.
4. Client Due Diligence (CDD) and Know-Your-Customer (KYC)
As part of its compliance obligations, Apolonia Capital may conduct Know-Your-Customer (KYC) and Client Due Diligence (CDD) procedures when engaging with clients, partners, or counterparties.
These procedures may include verification of:
- identity of individuals and corporate entities
- beneficial ownership structures
- source of funds and source of wealth
- business activities and risk profile
Additional documentation or information may be requested where necessary to comply with regulatory obligations.
5. Sanctions Compliance
Apolonia Capital complies with applicable international sanctions regimes, including those issued by:
- United Nations Security Council (UNSC)
- United Arab Emirates authorities
- Other relevant international bodies where applicable
The Firm may conduct screening against sanctions lists and other financial crime databases to ensure compliance with applicable sanctions regulations.
6. Monitoring and Reporting
The Firm maintains internal procedures to monitor transactions and business relationships for potential suspicious activities.
Where required under applicable laws and regulations, the Firm may report suspicious activities to the relevant authorities.
Such reporting obligations may be carried out without notifying the affected party, as permitted under applicable AML/CFT regulations.
7. Employee Training and Internal Controls
Apolonia Capital maintains internal compliance procedures designed to ensure that employees are aware of their responsibilities regarding financial crime prevention.
These procedures may include:
- AML/CFT training programs
- internal compliance monitoring
- regulatory reporting procedures
- escalation protocols for suspicious activities
These measures help ensure that the Firm maintains effective internal controls against financial crime.
8. Cooperation with Authorities
Apolonia Capital cooperates with relevant regulatory authorities, law enforcement agencies, and financial intelligence units in matters relating to financial crime prevention.
Where required by law, the Firm may provide information to competent authorities in connection with regulatory investigations or compliance obligations.
9. Fraud and Impersonation Warning
Apolonia Capital does not solicit investments through unofficial channels, including:
- social media messaging platforms
- unofficial email addresses
- unverified representatives
Users are advised to verify the authenticity of communications claiming to represent Apolonia Capital.
Any suspected fraud or impersonation should be reported immediately to: info@apoloniacapital.com
10. Disclaimer
This statement is provided for general informational purposes regarding the Firm’s approach to financial crime prevention.
The information contained in this statement does not constitute legal or regulatory advice and may be updated from time to time to reflect changes in applicable laws and regulations.
11. Contact Information
For inquiries related to compliance, financial crime prevention, or regulatory matters, please contact:
Apolonia Capital Financial Consultation & Financial Analysis LLC
Office 604, Burj Al Salam Office Tower
Trade Center First, Sheikh Zayed Road
Dubai, United Arab Emirates
Email: info@apoloniacapital.com
Website: www.apoloniacapital.com