At AURELIUS FINANCE COMPANY LIMITED, compliance is embedded in our operating model. Our Compliance and Risk functions work alongside the business to ensure that our activities are aligned with applicable laws, regulations and industry best practice.

The Compliance function:

• Monitors regulatory developments across relevant jurisdictions;
• Advises our business units on the interpretation and practical impact of regulation;
• Maintains policies, procedures and staff training on conduct and regulatory obligations;
• Oversees controls for market abuse, conflicts of interest, financial crime and client asset protection.

For further detail on our governance, risk and client protection framework, please refer to the following key documents and disclosures:

• Business Continuity Plan
• Customer Account Policy
• DEI Policy 2023
• ESG Policy 2023
• Extended Hours Trading Risk Disclosure
• Rule 5270 Disclosure
• Rule 5320 Disclosure

Business Continuity & Operational Resilience
Our business continuity and operational resilience framework is designed to ensure that AURELIUS FINANCE COMPANY LIMITED can continue to support clients and meet its obligations during emergencies or significant business disruptions.

This includes:

• Documented contingency and recovery plans for critical processes and systems;
• Geographically diversified infrastructure and secure remote-working capabilities;
• Regular testing of backup, recovery and communication procedures; and
• Clear lines of responsibility for incident management and escalation.

Our commitment is to restore and maintain key services in a controlled, timely and transparent manner, while keeping clients appropriately informed in line with regulatory expectations.