Legal & Compliance

The framework built by legal and compliance is crucial in safeguarding against legal risks and facilitating industry navigation.

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The Legal and Compliance function ensures our operations adhere to legal requirements, regulatory standards, and ethical principles. Their role acts as a guardian, safeguarding our reputation and legal integrity.

Key responsibilities and functions:

Regulatory Adherence

Our primary responsibility is ensuring our activities align with various regulatory requirements governing commodity trading and investment activities. We diligently monitor regulatory changes to ensure ongoing compliance.

Expert Legal Guidance and Due Diligence

Our team of legal experts provides informed legal advice and conducts thorough due diligence on transactions, contracts, agreements, and partnerships. These assessments enable well-informed decision-making while minimizing legal risks.

Contract Management

Our team oversees the drafting, reviewing, and negotiating of contracts with counterparties and service providers. We aim to ensure these agreements are legally sound, equitable, and aligned with our objectives.

Regulatory Reporting and Filings

We manage accurate and timely regulatory reporting and filings, providing transparency into our trading activities, financials, and compliance efforts.

Cultivating a Culture of Compliance

We conduct regular training sessions to educate team members about relevant regulations, compliance protocols, and ethical standards. This educational effort promotes a culture of compliance throughout the organization.

Policy Development and Implementation

We create, update, and enforce compliance policies and procedures tailored to the trading needs. These policies provide guidelines for consistent adherence to regulatory standards.

Monitoring and Surveillance

We monitor trading activities, communications, and transactions to identify potential violations of laws and regulations. Early detection empowers us to intervene promptly.

Third-Party Due Diligence

We assess third-party vendors and partners for legal and regulatory compliance to minimize risks associated with external collaborations.

Document Management

Maintaining comprehensive records of compliance efforts, legal documents, and regulatory interactions demonstrates our commitment to accountability.

The Legal and Compliance function plays a crucial role in Ocean Leonid. By managing risks, offering legal guidance, and promoting a culture of compliance, we contribute significantly to our long-term success, reputation, and trading confidence.

Address

Ocean Leonid

Office 304, Tower 1

Al Fattan Currency House

DIFC, Dubai, UAE

T: +9714 344 8770

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