Governance, Risk & Compliance

 

 

 

OGZ Ventures Ltd maintains a formal governance and compliance framework aligned with UK regulatory expectations and international best practice. Oversight is exercised at director level, with accountability for risk management, financial crime controls, and ethical conduct embedded within senior management.

 

The firm applies a risk-based approach to governance, ensuring that controls are proportionate to the nature, scale, and complexity of each mandate.

 

Where appropriate, OGZ Ventures Ltd engages:

  • External legal advisers

  • Specialist compliance and forensic professionals

  • Independent auditors or investigators

 

to support oversight and assurance activities.

 

Client Funds & Custody

 

 

OGZ Ventures Ltd does not act as a broker, custodian, trustee, or handler of client funds.

 

The firm operates strictly as an advisory, structuring, and transaction support entity. Client funds are held and transferred exclusively through regulated third-party institutions in the client’s own name or designated project vehicles.

 

Compliance Governance

 

Responsibility for compliance rests with the board and senior management. Policies are reviewed periodically to ensure continued alignment with legal obligations, banking standards, and counterpart expectations.

 

Jurisdictional Scope

OGZ Ventures Ltd is incorporated and operated from the United Kingdom and conducts international advisory work on a cross-border basis. All engagements are assessed for jurisdictional risk and regulatory exposure prior to acceptance.

 

Anti-Money Laundering (AML) & Financial Crime Controls

OGZ Ventures Ltd operates robust AML and counter-financial crime controls consistent with:

 

  • UK Money Laundering Regulations

  • Proceeds of Crime Act 2002

  • Terrorism Act 2000

  • Relevant international standards

 

Our AML framework includes, where applicable:

 

  • Verification of clients, counterparties, directors, and beneficial owners

  • Source-of-funds and source-of-wealth assessments

  • Review of transaction purpose and commercial rationale

  • Verification of mandates, contracts, and authority structures

  • Ongoing monitoring of engagements for risk indicators

  • Escalation, refusal, or termination of transactions that do not meet internal compliance standards

 

 

 

 

OGZ Ventures Ltd reserves the right to decline any engagement that presents unacceptable legal, regulatory, or reputational risk.

OGZ Ventures Ltd does not act as a broker, custodian, trustee, or handler of client funds