The Compliance and Trade Policy defines the regulatory, legal, and operational standards governing all activities within the Rise platform. This framework ensures that trade execution, capital deployment, and partner engagement are conducted within recognized international norms, with a focus on legality, transparency, and risk control.
12.1 Compliance Principles
Rise operates under a set of core compliance principles:
- Legality: All transactions must comply with applicable international laws and trade regulations
- Transparency in Structure: Clear definition of transaction terms and financial flows
- Risk Awareness: Identification and mitigation of regulatory and jurisdictional risks
- Operational Integrity: Engagement only with verified and compliant counterparties
These principles guide all aspects of trade selection, execution, and financial structuring.
12.2 Trade Eligibility Criteria
All trade transactions executed through the platform must meet strict eligibility requirements.
Permitted Goods
Rise focuses exclusively on lawful, commercially viable goods, including:
- Food and agricultural products
- Machinery and industrial equipment
- Automotive and industrial spare parts
These categories are selected based on:
- Established market demand
- Predictable supply chains
- Regulatory clarity across jurisdictions
Prohibited Goods and Activities
The platform explicitly excludes:
- Goods classified as illegal under international law
- Products subject to international sanctions
- Restricted or controlled items requiring specialized licensing not obtained
- Transactions involving embargoed countries or entities
No exceptions are made to these restrictions.
12.3 Counterparty Due Diligence
All participants in the trade process are subject to verification procedures.
Buyer and Supplier Verification
- Assessment of commercial credibility and track record
- Review of operational capacity and transaction history
- Verification of legal and business registration
Financial Institution Selection
- Use of recognized banking institutions for issuing and confirming Letters of Credit
- Preference for banks operating within established regulatory frameworks
This due diligence process is intended to reduce exposure to unreliable or non-compliant parties.
12.4 Use of Banking Instruments
All transactions are structured using Letters of Credit (L/C), which are governed by internationally recognized standards (such as UCP 600).
Compliance requirements include:
- Proper issuance of L/C by a regulated financial institution
- Confirmation by a second bank where applicable
- Full adherence to documentation and presentation standards
This ensures that payment mechanisms align with accepted global banking practices.
12.5 Jurisdictional Considerations
Trade operations may involve multiple jurisdictions, each with its own regulatory environment.
To manage this complexity:
- Transactions are reviewed for cross-border compliance
- Trade routes are selected based on regulatory stability
- Exposure to high-risk or uncertain jurisdictions is minimized
12.6 Anti-Money Laundering (AML) and Financial Integrity
The platform maintains internal controls aimed at preserving financial integrity:
- Monitoring of transaction flows within the system
- Verification processes for deposits and withdrawals
- Alignment with standard AML principles where applicable
While operating within a crypto-based environment, Rise applies structured controls to reduce the risk of misuse.
12.7 Internal Compliance Controls
Operational compliance is supported by:
- Defined approval processes for trade transactions
- Documentation requirements prior to execution
- Segregation of responsibilities across operational roles
These controls ensure that no single process proceeds without validation.
12.8 Ongoing Monitoring
Compliance is not limited to initial verification. The platform maintains ongoing oversight through:
- Periodic review of counterparties
- Monitoring of regulatory developments
- Continuous assessment of trade activities
This allows the platform to adapt to changes in the regulatory environment.
12.9 Limitations and External Dependencies
While Rise applies structured compliance controls, certain factors remain external:
- Changes in international trade regulations
- Sanctions updates and geopolitical developments
- Banking system policies and restrictions
These factors are monitored but cannot be fully controlled by the platform.
12.10 Summary
The Compliance and Trade Policy ensures that:
- All trade activities are conducted within legal and regulatory boundaries
- Only verified and compliant counterparties are engaged
- Transactions are structured using recognized financial instruments
- Risks related to jurisdiction and regulation are actively managed
Last modified on March 17, 2026