Legal & Compliance
Privacy, terms of use, investor disclosures, and regulatory compliance documentation for Mercuri Investment Firm.
Legal Documentation
Privacy & Website Terms
Investor Documentation
Key Policies & Standards
Data Protection & Privacy
Mercuri maintains robust data protection policies aligned with applicable privacy regulations including GDPR and CCPA. We limit collection of personal information to what is necessary for legitimate business purposes and maintain appropriate safeguards.
- • Secure data storage and encryption protocols
- • Limited access controls and employee training
- • Regular security audits and updates
- • Clear disclosure of data use and sharing practices
Fair Lending & Anti-Discrimination
Mercuri is committed to fair lending practices and compliance with fair housing and fair lending laws. All underwriting decisions are based on objective creditworthiness criteria without discrimination based on protected characteristics.
- • Non-discrimination in all lending decisions
- • Equal opportunity in portfolio management
- • Regular fair lending compliance reviews
- • Transparent underwriting standards
Conflict of Interest Management
Mercuri maintains policies and procedures to identify, disclose, and manage conflicts of interest. All team members are required to acknowledge conflicts policies and maintain appropriate separation where needed.
- • Written conflict of interest policies
- • Annual acknowledgment requirements
- • Disclosure protocols for investment decisions
- • Independent governance oversight
Anti-Corruption & Compliance
Mercuri maintains anti-corruption policies compliant with applicable laws including FCPA and sanctions requirements. We conduct appropriate due diligence on partners, vendors, and counterparties.
- • Written anti-corruption policies
- • Due diligence on business partners
- • Sanctions and export control compliance
- • Monitoring and reporting mechanisms
Regulatory Compliance
Securities Compliance
- • SEC regulation and filing requirements
- • Investment adviser rules and standards
- • Fund registration and offering compliance
- • Investor protection requirements
- • Custody and safekeeping standards
Financial Regulations
- • Anti-money laundering (AML) compliance
- • Know-your-customer (KYC) procedures
- • Sanctions and OFAC screening
- • Financial reporting requirements
- • Recordkeeping and audit standards
Real Estate & Consumer Laws
- • Fair housing and lending laws
- • Truth in Lending Act compliance
- • Servicing regulations and standards
- • Real estate licensing requirements
- • State-specific regulations
Internal Controls
- • Internal audit programs
- • Independent compliance reviews
- • Risk management frameworks
- • Regular policy updates
- • Staff training and certification
Legal Inquiries
For questions about our legal policies, compliance practices, or to request documentation, please contact our legal and compliance team.
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