Anti-Money Laundering Policy

Edward Thomas Trading (ETT) recognizes that the USA Patriot Act, as amended from time to time (the “Act”), imposes important obligations on all financial firms for the detection, deterrence and reporting of money laundering activities. It has established the following policies to ensure compliance with all laws and regulations regarding money laundering.

Prior to the opening of any new account, ETT will document the identity, nature of business, income, source of assets, and investment objectives of each prospective customer. Therefore, we will ask to see identifying documents as specified in ETT’s Anti-Money Laundering Policy.

On an on-going basis, ETT will review account activity for evidence of transactions that may be indicative of money laundering activities. Every officer, employee and associated person of ETT is responsible for assisting in the firm’s efforts to uncover and report any activity that might constitute, or otherwise indicate or raise suspicions of, money laundering. To this end, ETT provides continuing education and training of all such persons.

ETT will comply with all trade and economic sanctions imposed by the US Office of Foreign Assets Control against targeted foreign countries and shall cooperate fully with government agencies, self-regulatory organizations and law enforcement officials. As provided by the Act, ETT may supply information about former, current or prospective customers to such bodies.

if you would like to view our anti-money laundering program, please click here