Rencontrez l'équipe
Dubai
Head of Corporate Banking
Former FAB Bank VP, Mashreq Bank VP, First Gulf VP, HSBC, IIT Alumnus
Rajesh Gupta
President
Former FAB Bank EVP, Regional Head Standard Chartered Bank, ABN Amro, American Express
Managing Director
Former Head of Advisory at River Rock, Global Co-Head of Corporate Finance at Dresdner Kleinwort, Head of Debt Capital Markets at BNP Paribas
1. Our Compliance Framework
We maintain a multi-layered compliance posture, validated by independent third-party audits to meet the requirements of global financial regulators.
SOC I (System and Organization Controls 1)
We adhere to SOC I Type II standards, focusing on our internal controls over financial reporting (ICFR). This ensures that for our infrastructure and developer partners, every transaction, drawdown, and interest calculation is processed with absolute integrity and auditability.
SOC II (Security, Confidentiality, and Privacy)
Our AI-Ops environment and Vertex AI-integrated systems are SOC II Type II compliant. We undergo annual audits across the Trust Services Criteria:
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Security: Protection against unauthorized access (physical and logical).
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Confidentiality: Strict isolation of client datasets; your deal flow data is never used to train global AI models.
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Privacy: Complete alignment with global data protection mandates (GDPR/DIFC Data Protection Law).
SOC III (Public Trust Reporting)
We provide SOC III reports as a public-facing assurance of our SOC II compliance. This high-level summary validates our security controls without disclosing sensitive internal architectural details, providing immediate transparency for our prospective large-cap partners.
ISO/IEC 27001 (Information Security Management)
IGA Capital relies on ISO 27001:2022 certified data management systems. Our Information Security Management System (ISMS) follows a risk-based approach to managing sensitive company information. From our UAE headquarters to our global nodes, we implement:
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Continuous risk assessment and vulnerability management.
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End-to-end AES-256 encryption for all data at rest and in transit.
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Rigorous employee security training and background verification.
2. The "Private Cloud" Architecture
Unlike generic AI service providers, IGA Capital utilizes a Sovereign Cloud Strategy.
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VPC Isolation: All client analysis is performed within a Virtual Private Cloud (VPC).
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Zero Data Leakage: Our Large Language Model (LLM) implementations are "stateless" in regard to client data; once a mandate analysis is complete, the data remains within your encrypted tenant.
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SOFR-Linked Precision: Our financial modeling agents operate on verified, SOC-compliant data feeds, ensuring that SOFR-linked debt service and NPV calculations are accurate to institutional decimal standards.
3. Jurisdictional Security
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DIFC Data Protection Law: We are fully aligned with the DIFC Data Protection Law No. 5 of 2020.
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Supervisory Oversight: Our adherence to international common law standards provides an additional layer of "Legal Compliance" that traditional offshore entities cannot match.
Politique de gouvernance d'entreprise et responsabilité sociale
1. Introduction
IGA Capital Finance Brokers LLC ("IGA Capital") is committed to maintaining the highest standards of social responsibility and governance in all our operations. This policy outlines our commitment to ethical practices, compliance with regulatory standards, and the promotion of social and environmental sustainability. Our governance framework is designed to ensure adherence to the UAE Securities and Commodities Authority (SCA) regulations, the Foreign Account Tax Compliance Act (FATCA), the Organisation for Economic Co-operation and Development (OECD) guidelines, and European Union (EU) standards for reporting and compliance of financial institutions.
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2. Regulatory Compliance
2.1 UAE Securities and Commodities Authority (SCA) *
- Registration and Licensing: IGA Capital ensures that all activities are conducted in compliance with SCA regulations, maintaining up-to-date licenses and registrations. (IGA Capital Finance Brokers is not licensed or regulated by the SCA, it does however maintain KYC/AML and compliance practices standard to the SCA and DIFC.)
- Transparency and Reporting: Regularly submit financial reports, disclosures, and other required documents to regulating authorities when requested to ensure full transparency and regulatory compliance.
2.2 Foreign Account Tax Compliance Act (FATCA)
- Customer Identification: Implement rigorous customer identification processes to ensure compliance with FATCA requirements.
- Reporting: Report financial accounts held by U.S. taxpayers to the relevant authorities, ensuring that all FATCA-related data is accurate and timely.
2.3 Organisation for Economic Co-operation and Development (OECD)
- Common Reporting Standard (CRS): Adhere to the CRS for the automatic exchange of financial account information, ensuring that data is shared with the appropriate tax authorities.
- Anti-Bribery and Corruption: Implement and enforce robust anti-bribery and corruption policies in line with OECD guidelines.
2.4 European Union (EU)
- General Data Protection Regulation (GDPR): Ensure that all data processing activities comply with GDPR requirements, protecting the privacy and personal data of our clients.
- Sustainable Finance Disclosure Regulation (SFDR): Disclose information on how ESG factors are integrated into our financial products and services.
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3. Social Responsibility
3.1 Community Engagement
- Local Communities: Engage with local communities to understand their needs and contribute to their development through education, healthcare, and infrastructure projects.
- Indigenous Rights: Respect and promote the rights of indigenous peoples, ensuring that our operations do not negatively impact their communities.
3.2 Employee Welfare
- Fair Employment Practices: Ensure fair hiring, promotion, and compensation practices, promoting diversity and inclusion within our workforce.
- Health and Safety: Maintain a safe and healthy work environment for all employees, complying with local and international health and safety regulations.
3.3 Environmental Sustainability
- Sustainable Practices: Implement environmentally sustainable practices in our operations, aiming to minimize our carbon footprint and resource consumption.
- Green Initiatives: Support green projects and initiatives that promote renewable energy and environmental conservation.
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4. Governance
4.1 Board of Directors
- Independence and Diversity: Ensure that our Board of Directors includes independent members with diverse backgrounds and expertise to provide balanced and effective oversight.
- Responsibilities: Define clear roles and responsibilities for the Board, ensuring accountability and transparency in decision-making processes.
4.2 Risk Management
- Risk Assessment: Conduct regular risk assessments to identify, evaluate, and mitigate potential risks to the organization.
- Internal Controls: Establish and maintain robust internal controls to ensure the integrity of our financial reporting and compliance with regulatory requirements.
4.3 Ethics and Integrity
- Code of Conduct: Implement a comprehensive Code of Conduct that outlines the ethical standards expected of all employees, including honesty, integrity, and respect for others.
- Whistleblower Policy: Provide mechanisms for employees to report unethical behavior or violations of company policies without fear of retaliation.
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5. Reporting and Accountability
5.1 Transparency
- Regular Reporting: Provide regular updates to stakeholders on our social and governance performance, including annual reports and sustainability disclosures.
- Stakeholder Engagement: Engage with stakeholders to gather feedback and ensure that their concerns are addressed in our policies and practices.
5.2 Continuous Improvement
- Policy Review: Regularly review and update our social and governance policies to reflect changing regulations, stakeholder expectations, and best practices.
- Training and Development: Provide ongoing training and development opportunities for employees to ensure they understand and can implement our social and governance policies effectively.
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For more information, please contact:
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Note: This policy document is subject to periodic review and updates to ensure continued relevance and compliance with evolving regulatory and industry standards.
*IGA Capital Finance Brokers LLC is not required to report or register with SCA however it does voluntarily maintain compliance standard of the SCA as well as the DIFC regulatory authority DFSA. Joshua Hawley the Founder and CEO of IGA Capital Finance Brokers previously served as a Managing Director within DIFC, regulated by The Dubai Financial Services Authority (DFSA). IGA Capital is familiar with Global Regulatory Framework including UK FCA, US SEC, Mauritius FSA, and Singapore MAS.