AML Policy - TX3 Futures | Compliance and Integrity
Explore TX3 Futures’s Anti-Money Laundering Policy and learn how we ensure compliance and prevent financial crimes.
Explore TX3 Futures’s Anti-Money Laundering Policy and learn how we ensure compliance and prevent financial crimes.
TX3 Futures is committed to the prevention and active deterrence of money laundering and the financing of terrorism. We take our responsibility to protect the integrity of financial markets seriously and maintain strict compliance with applicable AML regulations.
This AML Policy outlines the principles, procedures, and internal controls that TX3 Futures follows to detect, prevent, and report potential money laundering or terrorist financing activities in accordance with international best practices.
TX3 Futures’s AML Policy aims to:
Money laundering refers to the process of concealing or disguising the origins of illegally obtained money to make it appear as if it came from legitimate sources. This process typically includes one or more of the following activities:
TX3 Futures strictly prohibits any activity that may facilitate money laundering, directly or indirectly.
Money laundering generally takes place in three stages:
Terrorist financing involves the collection or provision of funds with the intention that they be used to carry out acts of terrorism. Unlike money laundering, the funds used for terrorism may originate from both legal and illegal sources.
TX3 Futures implements rigorous controls to identify and prevent any transaction that may be connected to terrorist financing.
Our AML framework aligns with globally recognized laws and standards, including but not limited to:
TX3 Futures continuously reviews these frameworks to ensure full compliance with international and local AML regulations.
TX3 Futures strictly prohibits clients and employees from engaging in or facilitating any of the following activities:
Any violation of these prohibitions will result in immediate investigation and potential termination of the relationship.
TX3 Futures fully cooperates with regulatory and law enforcement authorities by providing timely and accurate information as required under applicable AML laws.
Employees who report suspicious activities in good faith are protected by TX3 Futures’s whistleblower policy and relevant legal safeguards.
No disciplinary or legal action will be taken against employees who, acting in good faith, submit a suspicious activity report.
TX3 Futures continuously monitors customer activity to detect unusual or suspicious transactions. These include, but are not limited to:
TX3 Futures has implemented robust systems and tools to identify suspicious activities and mitigate AML risks.
We apply both automated and manual review processes to flag irregular patterns, ensuring continuous vigilance.
All employees are required to promptly report any suspected or confirmed cases of money laundering or terrorist financing to the Compliance Officer. Reports may include:
TX3 Futures maintains complete and accurate records of client identification and transaction history to support investigations if necessary.
All records are securely stored and retained for a minimum of five (5) years, or longer when required by law.
TX3 Futures regularly evaluates its AML risk exposure to adapt its controls accordingly.
Our risk-based approach allows us to allocate resources efficiently while maintaining full regulatory compliance.
TX3 Futures conducts comprehensive sanctions screening of clients, partners, and transactions against recognized international lists, including:
Failure to comply with this AML Policy may result in severe legal and disciplinary consequences, including:
TX3 Futures enforces a zero-tolerance policy for AML breaches.
All employees are personally responsible for adhering to AML requirements and must:
TX3 Futures does not engage with shell banks or institutions that allow anonymous accounts.
TX3 Futures ensures that all employees are trained and aware of AML regulations and their responsibilities under this policy. Initial training covers AML fundamentals, red flags, and proper reporting channels. Employees learn to identify suspicious behavior, use internal reporting systems, and protect customer data. Ongoing refresher sessions reinforce best practices and regulatory updates through annual AML courses, scenario-based workshops, and new KYC rule briefings. TX3 Futures maintains full training records for auditing and compliance verification purposes.
The Compliance Department monitors the implementation and enforcement of this AML Policy, ensuring all internal processes, systems, and third-party relationships meet AML standards. It conducts internal audits, updates AML procedures as laws evolve, reports to senior management, and liaises with regulators when necessary. Through continuous review and enforcement, TX3 Futures maintains transparent, effective, and compliant AML practices.