Control
Compliance and surveillance
Controls are expressed as versioned rules with explicit failure behaviour. Every exception has an owner, a remediation path and an escalation deadline.
Data as at 2026-08-05 01:40 UTC · Simulated provider and custodian feeds
Simulated data. Product terms, prices, balances and settlement references are placeholders pending provider, custodian and legal confirmation.
Active rules
10
Versioned and change-controlled
Open exceptions
1
Blocking settlement
Surveillance alerts
5
Across clients, products and rails
High severity
2
Require same-day action
Open exceptions
Transactions held pending remediation.
| Transaction | Control | Severity | Remediation | Owner | Deadline | |
|---|---|---|---|---|---|---|
| ORD-2026-0439 | Wallet allowlist (WA-003) and quote validity | High | Reject Tron route; use allowlisted Ethereum wallet, refresh quote and re-run pre-settlement gate. | Operations — Priya Menon | 2026-08-05 09:00 UTC | Review |
Rule library
Each rule states its scope, enforcement point and behaviour on failure.
| Rule | Control | Scope | Status | Owner |
|---|---|---|---|---|
| CL-005 | Block initiation where KYC/KYB, mandate or classification expired | All clients | Active | Compliance |
| PI-001 | Professional-investor status mandatory for private placement products | Evident Moonshot AI | Active | Compliance |
| WA-003 | Delivery only to allowlisted wallets bound to the legal owner | All settlement assets | Active | Operations |
| JD-002 | Jurisdictional offer restriction matrix per product | All products | Active | Compliance |
| RK-004 | Concentration limits by product, provider, currency and jurisdiction | All mandates | Active | Risk |
| VL-002 | Valuation freshness policy — block execution above policy age | Private markets, supply-chain finance | Active | Risk |
| QT-002 | Quote validity enforcement before settlement gate | All orders | Active | Operations |
| SD-001 | Segregation of duties — originator may not final-approve above threshold | All orders above USD 1m | Active | Compliance |
| AU-006 | Tron network route restricted pending counterparty risk sign-off | USDT | Active — restricted | Risk |
| CM-001 | Client-facing materials limited to approved versions | All communications | Draft | Compliance |
Eligibility matrix
Product availability by client classification. Conditional entries require documented conditions before instruction.
| Product | Individual PI | Family office | Discretionary mandate | Institutional |
|---|---|---|---|---|
| Libeara Tokenised Gold | Eligible | Eligible | Eligible | Conditional |
| Evident — Moonshot AI | Conditional | Conditional | Ineligible | Ineligible |
| Stabilised GCC USD Fixed Income | Eligible | Eligible | Eligible | Eligible |
| Stabilised Australia Supply-Chain Finance | Conditional | Eligible | Eligible | Conditional |
Surveillance alerts
- High
Wallet not allowlisted
ORD-2026-0439 payment leg routed to a Tron address that is not allowlisted to the legal owner.
Operations — Priya Menon · due 2026-08-05 09:00 UTC
- High
KYC periodic review expired
Pacific Insurance Holdings — PI classification and KYC expired; transaction initiation blocked.
Compliance — Daniel Kwok · due 2026-08-08 09:00 UTC
- Medium
Quote expired
ORD-2026-0439 quote expired 2026-08-04 09:00 UTC. Re-quote required before settlement gate.
Operations — Priya Menon · due 2026-08-05 09:00 UTC
- Medium
Concentration breach warning
Meridian Family Office private-markets sleeve would reach 11.2% of provider limit band on ORD-2026-0431.
Risk — Johan Weiss · due 2026-08-05 09:00 UTC
- Medium
Stale valuation
Evident Moonshot AI valuation as at 31 May 2026 exceeds the 60-day policy age. Reporting must show stale flag.
Risk — Johan Weiss · due 2026-08-12 09:00 UTC