Compliances
& Risk Control

Our Compliance Philosophy

Compliance, transparency, and security are at the core of DJC Tech’s operations.

Regulatory qualifications include:

KYC (Know Your Customer)

Multi-dimensional ID checks (passport, ID, proof of residence)
Real-time global database screening
Enhanced Due Diligence (EDD) for HNWIs & cross-border capital

AML / CFT

Fully compliant with the U.S. BSA and Patriot Act
Aligned with FATF and OFAC standards
24/7 independent compliance monitoring of suspicious transactions

Risk Management Models

DJC Quant Risk Engine™ for real-time monitoring of volatility & liquidity
Millisecond alerts integrating macroeconomic & sentiment indicators
Tiered risk controls matched to client profiles

Data Security

AES-256 military-grade encryption
Multi-factor authentication with biometrics & OTPs
Distributed storage & disaster recovery

Sanctions Screening

Integration with OFAC, UN, EU, HMT, Interpol databases
Automated screening of clients & counterparties
Dual manual + automated review for high-risk jurisdictions

DJC Tech Asset Management Ltd. is a U.S.-registered and fully compliant asset management company, licensed under the SEC and FinCEN MSB, with registered capital of USD 50 million.

Headquartered in Denver, Colorado, with a Canadian subsidiary in Ottawa, Ontario (registered capital CAD 50 million), and research nodes across North America and Asia, we serve HNWIs, family offices, and institutional investors with compliant, transparent, and intelligent wealth management solutions.

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Regulatory Compliance Notice
DJC Tech Asset Management Ltd. (“we,” “our,” or “DJC Tech”) is committed to maintaining robust regulatory, anti‑money laundering (AML), and countering the financing of terrorism (CFT) compliance programs consistent with U.S. and international legal standards.

SEC and FinCEN Compliance

To the extent DJC Tech engages in activities within the jurisdiction of the U.S. Securities and Exchange Commission (“SEC”), we will adhere to applicable securities laws, rules, and regulations, including anti‑money laundering requirements, customer due diligence, and suspicious activity reporting obligations.
DJC Tech is aware of and shall comply, where applicable, with the U.S. Bank Secrecy Act (BSA) and its implementing regulations under the Financial Crimes Enforcement Network (“FinCEN”), including requirements for beneficial ownership reporting, recordkeeping, and filing of Suspicious Activity Reports (SARs).

Customer Due Diligence & Beneficial Ownership
We maintain a risk‑based approach to customer identification, verification, and ongoing monitoring of accounts. We reserve the right to request documentation and information from clients to verify identity, ownership structure, and source of funds.

Reporting & Cooperation
Where required by law or regulation, we will file reports to regulatory authorities (e.g. SARs, currency transaction reports, beneficial ownership reports) and cooperate with lawful governmental requests for information in accordance with applicable legal obligations.

Limitation & Jurisdictional Clarification
Our presence on this website does not, by itself, imply that we are registered, licensed, or regulated by U.S. agencies (including the SEC or FinCEN) in all jurisdictions. Where DJC Tech is not subject to U.S. jurisdiction, we apply equivalent or higher compliance standards to mitigate risks.

Updates
We reserve the right to update or modify this statement at any time to reflect changes in regulation, business practices, or compliance obligations. Clients and website users are encouraged to review this statement periodically.

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