Our Commitment to Security, Privacy & Regulatory Compliance

At Caris Capital, we are committed to the highest standards of compliance, governance, and data protection, operating with complete transparency to safeguard our clients and partners at every level.

Our policies cover a broad range of areas, including our Privacy Policy—compliant with the Nigeria Data Protection Regulation (NDPR) and aligned with the GDPR—alongside our Terms & Conditions of Service, Conflict of Interest Policy, Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) Policy, Client Protection and Complaint Handling Policy, and our Data Retention & Security Policy.

We are an Authorized Representative of Charles Monette Global for Life Insurance and Legacy Planning. In addition, we are a registered financial coach and investment adviser, with our partnership and licensing with the SEC Nigeria currently pending and set to be updated upon completion of the regulatory process.

Know Your Customer (KYC) is at the core of our operations. During onboarding, we conduct full identity verification (including BVN, NIN, and passport checks), verify the source of funds, perform risk profiling and investment suitability assessments, and screen for Politically Exposed Persons (PEPs). We also obtain client consent for data collection in line with NDPR requirements. All client data is encrypted and never shared without written authorization.