Client Due Diligence
Prospective clients and counterparties are evaluated through appropriate identification, ownership and background checks.
Governance, Risk & Compliance
Confidence is built through control
Carro recognises that underwriting, market making and asset management each involve significant responsibilities. Our governance framework is intended to protect clients, preserve market integrity and ensure that decisions are made within established legal, ethical and risk parameters.
Control Framework
Our control framework
Anti-Money Laundering
We maintain policies intended to identify and address money-laundering, sanctions and financial-crime risks.
Conflicts of Interest
Potential conflicts are identified, evaluated, disclosed and managed according to applicable policies and legal requirements.
Information Barriers
Confidential and price-sensitive information is handled through appropriate access controls and internal procedures.
Market Conduct
Trading and market-making activities are subject to controls intended to support lawful and orderly market participation.
Suitability & Eligibility
Investment opportunities and services are provided only where consistent with the client’s classification, mandate and applicable regulations.
Risk Limits
Trading, underwriting and portfolio activities are conducted within approved exposure, concentration and liquidity limits.
Business Continuity
Operational resilience, technology controls and continuity planning form part of our risk-management framework.
Regulatory Cooperation
Carro seeks to maintain constructive engagement with relevant regulators, exchanges, professional advisers and authorised counterparties.
Responsible Market Participation
Professional judgement. Disciplined execution.
We do not promise investment returns, guaranteed liquidity, guaranteed offering completion or protection against market loss. Our role is to apply professional judgement, disciplined execution and appropriate controls to each engagement.