### Legal and Regulatory Compliance Policy

*Company Name*: ZIGGURAH LLC  

*ID Number*: 067178733  

*Date of Establishment*: November 15, 2023  

*Location*: 30 N Gould St Ste R Sheridan, WY 82801 USA

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#### 1. *Introduction*

Ziggurah is dedicated to ensuring full compliance with all applicable local, national, and international laws and regulations governing the operation of cryptocurrency trading platforms. This policy outlines the measures Ziggurah will implement to maintain legal and regulatory compliance.

#### 2. *Regulatory Framework*

2.1 *Identification of Applicable Laws*:

- Ziggurah will identify and maintain a comprehensive list of all applicable laws and regulations relevant to its operations.

- This includes, but is not limited to, financial regulations, consumer protection laws, data privacy laws, and anti-money laundering (AML) regulations.

2.2 *Compliance Obligations*:

- The company will ensure compliance with all regulatory requirements set by relevant authorities, including obtaining and maintaining necessary licenses and permits.

- Regular reviews will be conducted to ensure ongoing compliance with regulatory changes.

#### 3. *Governance and Accountability*

3.1 *Compliance Officer*:

- A Compliance Officer will be appointed to oversee all compliance-related activities and ensure adherence to regulatory requirements.

- The Compliance Officer will have direct access to senior management and will report on compliance matters regularly.

3.2 *Board Oversight*:

- The Board of Directors will receive regular reports on compliance issues and will be involved in setting the overall compliance strategy.

- The Board will ensure that adequate resources are allocated to the compliance function.

#### 4. *Policies and Procedures*

4.1 *Development and Implementation*:

- Ziggurah will develop and implement comprehensive policies and procedures to ensure compliance with all relevant laws and regulations.

- Policies will cover areas such as AML, data protection, customer due diligence, and transaction monitoring.

4.2 *Review and Update*:

- Policies and procedures will be reviewed and updated regularly to reflect changes in laws and regulations.

- Employees will be informed of any updates and provided with training as necessary.

#### 5. *Training and Awareness*

5.1 *Employee Training*:

- All employees will receive training on relevant legal and regulatory requirements as part of their onboarding process and on an ongoing basis.

- Training programs will be updated regularly to reflect changes in the regulatory environment.

5.2 *Raising Awareness*:

- Ziggurah will promote a culture of compliance through regular communications and updates on regulatory developments.

- Employees will be encouraged to report any compliance concerns or potential breaches.

#### 6. *Monitoring and Reporting*

6.1 *Internal Monitoring*:

- Ziggurah will implement robust monitoring systems to detect and prevent non-compliance.

- Regular internal audits will be conducted to assess compliance with policies and procedures.

6.2 *Reporting Mechanisms*:

- A clear reporting mechanism will be established for employees to report any compliance issues or breaches.

- Reports will be investigated promptly, and appropriate action will be taken.

#### 7. *External Relations*

7.1 *Regulatory Engagement*:

- Ziggurah will maintain open and transparent communication with regulatory authorities.

- The company will participate in industry consultations and provide feedback on proposed regulatory changes.

7.2 *Third-Party Compliance*:

- Ziggurah will ensure that all third-party service providers comply with relevant legal and regulatory requirements.

- Due diligence will be conducted on all third-party providers, and compliance will be monitored on an ongoing basis.

#### 8. *Record Keeping*

8.1 *Documentation*:

- Ziggurah will maintain comprehensive records of all compliance activities, including training, monitoring, and reporting.

- Records will be retained for the required period as stipulated by applicable laws and regulations.

#### 9. *Continuous Improvement*

9.1 *Feedback and Improvement*:

- Ziggurah will seek feedback on its compliance program and make improvements as necessary.

- Regular reviews will be conducted to identify areas for enhancement and to implement best practices.

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*Effective Date 01/04/2024

To contact us / admin@fxeet.com