Policies And Codes

Overview

Yoki Financial Services Private Limited (“Yoki Financial”) operates with a strong commitment to integrity, compliance, and ethical conduct.

Our policies and codes provide a framework for fair dealing, regulatory compliance, and transparent communication with all stakeholders.

Key Policies and Codes

Yoki Financial has adopted the following internal and regulatory policies in line with applicable IFSCA and Companies Act requirements:

  1. Code of Conduct for Directors and Employees – Establishes standards of honesty, integrity, and professional conduct.
  2. Code of Fair Disclosure and Prevention of Insider Trading – Governs access to and communication of unpublished price-sensitive information, ensuring market integrity.
  3. Policy on Prevention of Money Laundering (PMLA Policy) – Outlines client due-diligence, KYC, and AML compliance procedures in accordance with IFSCA/SEBI norms.
  4. Whistle Blower Policy – Encourages reporting of unethical practices or violations in good faith, ensuring confidentiality and protection against retaliation.
  5. Information Security and Data Privacy Policy – Ensures the confidentiality, integrity, and lawful handling of client and investor data.
  6. Investor Grievance Redressal Policy – Lays out procedures for receiving, investigating, and resolving complaints in compliance with IFSCA guidelines.

Each of these policies is periodically reviewed and updated to align with evolving regulatory standards and best practices in the financial services industry.