Company Policy

Last Updated: June 2026

Operated by: Aura Financial Capital

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1. Introduction to Our Governance Framework

Aura Prime Wealth, operating under the corporate stewardship of Aura Financial Capital, adheres to the highest standards of corporate governance. We are committed to maintaining the integrity of the UAE financial system and safeguarding the interests of our clients. This Company Policy document sets out our core principles regarding regulatory compliance, conflicts of interest, and professional ethics.

2. Regulatory Compliance

We operate with strict adherence to the regulatory frameworks established by the Securities and Commodities Authority (SCA), the Dubai Financial Services Authority (DFSA), and the Financial Services Regulatory Authority (FSRA) of the Abu Dhabi Global Market (ADGM). Our policies are continuously reviewed to align with the UAE's legislative evolution and international financial standards.

3. Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF)

We have a zero-tolerance approach to financial crime. Our internal AML/CTF policy is rigorous and fully compliant with UAE Cabinet Decision No. (10) of 2019 and the guidelines of the UAE Central Bank. This includes:

• Conducting thorough Enhanced Due Diligence (EDD) on all clients, particularly Politically Exposed Persons (PEPs).
• Monitoring transactions for suspicious activity.
• Reporting any verified concerns to the UAE Financial Intelligence Unit (FIU).

4. Conflicts of Interest

We operate on a strictly fee-based, independent advisory model. We do not accept commissions, trailing fees, or retrocessions from third-party product providers. This structural independence ensures our advice remains entirely objective and aligned with your best interests. Any potential conflicts are disclosed transparently to clients in writing prior to engagement.

5. Client Confidentiality and Discretion

Discretion is the cornerstone of our service. All client information, transactions, and communications are treated as strictly confidential. We do not disclose any non-public information to third parties except where required by law, regulation, or with your explicit authorization.

6. Professional Competence

Our advisory team comprises seasoned professionals holding recognized financial designations (e.g., CFA, CAIA) and engages in continuous professional development to stay abreast of global market dynamics and regulatory changes.

7. Complaint Handling Procedure

We are committed to resolving any client concerns promptly and fairly. If you have a complaint regarding our services, please submit it in writing via:

• Email: info@auraprimewealth.com
• Address: Al Bateen Towers, C2-1801, P.O. Box 111422, Abu Dhabi, UAE

Upon receipt, we will acknowledge your complaint within 5 business days, conduct a thorough internal review, and provide a substantive response within a further 20 business days. If you remain unsatisfied, you have the right to refer the matter to the relevant regulatory authority (SCA/DFSA/FSRA).

8. Amendments

This Company Policy is subject to review and amendment to reflect new regulatory requirements or operational developments. Any changes will be communicated to clients as appropriate.

9. Contact Us

If you have any questions regarding this Company Policy, please contact our registered office:

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Aura Prime Wealth is the service brand of Aura Financial Capital. © 2026 All rights reserved.