Compliance & Security
Our Certifications
SOC 2 Type II
Annual audit of security, availability, and confidentiality controls
Valid until: December 31, 2025
ISO 27001:2013
Information Security Management System certification
Valid until: March 15, 2026
GDPR Compliant
EU General Data Protection Regulation compliance
Valid until: Ongoing
CCPA Compliant
California Consumer Privacy Act compliance
Valid until: Ongoing
PCI DSS Level 1
Payment Card Industry Data Security Standard
Valid until: June 30, 2025
Table of Contents
1. Compliance Overview
AI Trading Pro is committed to maintaining the highest standards of regulatory compliance and data security. We adhere to international standards and regulations to ensure the safety and privacy of our users' data and trading activities.
2. Regulatory Framework
2.1 Financial Regulations
We comply with applicable financial regulations in jurisdictions where we operate:
- Anti-Money Laundering (AML) requirements
- Know Your Customer (KYC) procedures
- Counter-Terrorist Financing (CTF) measures
- Market manipulation prevention
- Fair trading practices
2.2 Data Protection Laws
We adhere to global data protection regulations:
- GDPR (European Union)
- CCPA (California, USA)
- PIPEDA (Canada)
- LGPD (Brazil)
- APPI (Japan)
2.3 Cryptocurrency Regulations
We monitor and comply with evolving cryptocurrency regulations:
- Virtual Asset Service Provider (VASP) requirements
- Travel Rule compliance for transfers
- Tax reporting obligations
- Licensing requirements by jurisdiction
- Consumer protection measures
3. Security Measures
3.1 Technical Controls
We implement comprehensive technical security measures:
- End-to-end encryption for all data transmissions
- Multi-factor authentication (MFA) for all accounts
- Regular security audits and penetration testing
- Intrusion detection and prevention systems
- DDoS protection and rate limiting
- Secure API key management with encryption
- Regular security patches and updates
3.2 Operational Controls
Our operational security procedures include:
- 24/7 security monitoring
- Incident response team
- Regular employee security training
- Background checks for all employees
- Strict access controls and privilege management
- Regular security reviews and assessments
3.3 Physical Security
Our infrastructure is protected by:
- Tier 4 data centers with redundancy
- Biometric access controls
- 24/7 surveillance and monitoring
- Environmental controls and disaster recovery
- Geographically distributed backups
4. AML/KYC Procedures
4.1 Customer Verification
Our Know Your Customer process includes:
- Identity verification through government-issued ID
- Proof of address verification
- Source of funds verification for large transactions
- Ongoing monitoring of account activity
- Enhanced due diligence for high-risk customers
4.2 Transaction Monitoring
We monitor transactions for suspicious activity:
- Real-time transaction screening
- Pattern recognition for unusual behavior
- Sanctions and PEP list screening
- Suspicious Activity Report (SAR) filing
- Regular review of monitoring rules
5. Data Governance
5.1 Data Classification
We classify data based on sensitivity:
- Public: Marketing materials, general information
- Internal: Business operations data
- Confidential: User data, trading strategies
- Restricted: API keys, payment information
5.2 Data Lifecycle Management
We manage data throughout its lifecycle:
- Secure collection with user consent
- Encrypted storage and transmission
- Limited access based on need-to-know
- Secure deletion when no longer needed
- Regular data inventory and mapping
5.3 Data Subject Rights
We respect and facilitate user rights:
- Right to access personal data
- Right to rectification of inaccurate data
- Right to erasure (right to be forgotten)
- Right to data portability
- Right to object to processing
- Right to restrict processing
6. Third-Party Risk Management
We carefully manage relationships with third-party providers:
- Due diligence before onboarding
- Contractual security requirements
- Regular security assessments
- Data processing agreements
- Incident notification requirements
- Right to audit clauses
7. Incident Response
7.1 Response Procedures
Our incident response plan includes:
- Immediate containment and assessment
- Evidence preservation and forensics
- Stakeholder notification within 72 hours
- Remediation and recovery
- Post-incident review and improvements
7.2 Breach Notification
In case of a data breach, we will:
- Notify affected users promptly
- Report to regulatory authorities as required
- Provide details of the breach and impact
- Offer guidance on protective measures
- Provide credit monitoring if appropriate
8. Audits and Assessments
We undergo regular audits and assessments:
- Annual SOC 2 Type II audit
- ISO 27001 surveillance audits
- Quarterly penetration testing
- Monthly vulnerability assessments
- Continuous compliance monitoring
- Third-party security assessments
9. Training and Awareness
We maintain a comprehensive security awareness program:
- Mandatory security training for all employees
- Role-specific compliance training
- Regular phishing simulations
- Security awareness campaigns
- Incident response drills
- Compliance updates and briefings
10. Continuous Improvement
We are committed to continuously improving our compliance posture:
- Regular review of policies and procedures
- Implementation of industry best practices
- Adoption of new security technologies
- Feedback incorporation from audits
- Regulatory change management
- Threat intelligence integration
11. Compliance Contact
For compliance-related inquiries or to report concerns:
Compliance Email: compliance@aitradingpro.com
Data Protection Officer: dpo@aitradingpro.com
Compliance Hotline: +1 (555) 123-4568
Address:
Compliance Department
AI Trading Pro, Inc.
123 Market Street, Suite 500
San Francisco, CA 94105
This compliance documentation was last updated on January 8, 2025. We continuously update our compliance measures to meet evolving regulatory requirements and industry best practices.