Compliance & Governance

Regulatory Status

FinHub Global Ventures operates in compliance with applicable securities laws and regulations in the jurisdictions where we conduct business. Our investment activities are subject to regulatory oversight in accordance with local, state, federal, and international requirements.

We are registered with relevant regulatory authorities and maintain all required licenses and registrations for our investment activities. Specific regulatory information is available upon request to qualified investors and counterparties.

Anti-Money Laundering (AML)

FinHub Global Ventures maintains a comprehensive Anti-Money Laundering (AML) program designed to detect and prevent money laundering, terrorist financing, and other financial crimes. Our AML program includes:

• Customer due diligence and know-your-customer (KYC) procedures
• Enhanced due diligence for high-risk customers and transactions
• Ongoing monitoring of client relationships and transactions
• Employee training on AML requirements and red flags
• Independent testing and audit of AML controls
• Designation of a Chief Compliance Officer

Sanctions Compliance

We maintain robust sanctions compliance procedures to ensure that we do not engage in transactions with sanctioned individuals, entities, or countries. Our compliance program includes:

• Screening of investors, portfolio companies, and counterparties against OFAC, UN, EU, and other sanctions lists
• Ongoing monitoring of sanctions developments
• Procedures for handling potential sanctions matches
• Regular training on sanctions requirements

Conflicts of Interest

We have established policies and procedures to identify, manage, and mitigate potential conflicts of interest that may arise in our business activities. These include:

• Personal trading policies for employees
• Gift and entertainment policies
• Allocation of investment opportunities
• Related party transaction procedures
• Information barriers between investment teams

Data Protection & Privacy

We are committed to protecting the privacy and security of personal information in compliance with applicable data protection laws, including the General Data Protection Regulation (GDPR), California Consumer Privacy Act (CCPA), and other relevant regulations.

Our data protection practices include:

• Collection limitation to necessary information only
• Secure storage and transmission of personal data
• Limited access to authorized personnel only
• Regular review of data retention practices
• Procedures for handling data subject requests

For more information, please see our Privacy Policy.

ESG & Responsible Investing

FinHub Global Ventures integrates Environmental, Social, and Governance (ESG) considerations into our investment process. We believe that responsible investing creates long-term value for our investors, portfolio companies, and communities.

Our ESG commitments include:

• ESG due diligence in investment decisions
• Active engagement with portfolio companies on ESG matters
• Support for the Principles for Responsible Investment (PRI)
• Regular ESG reporting to limited partners
• Diversity, equity, and inclusion initiatives

Corporate Governance

We maintain strong corporate governance practices aligned with industry best practices. Our governance framework includes:

• Independent board oversight
• Clear organizational structure and reporting lines
• Written policies and procedures
• Regular compliance training for all employees
• Internal audit function
• Whistleblower protections and reporting mechanisms

Reporting & Whistleblowing

We encourage employees, investors, and business partners to report any concerns about potential violations of law, regulation, or company policy. Reports can be made confidentially through:

• Email: compliance@fgvcapital.com
• Phone: +1 (555) 123-4567 (Compliance Hotline)
• Mail: Chief Compliance Officer, FinHub Global Ventures, 123 Financial District, New York, NY 10005

We prohibit retaliation against anyone who reports concerns in good faith.

Contact Our Compliance Team

For questions about our compliance programs or to request additional information: