CORPORATE GOVERNANCE AND COMPLIANCE
Corporate governance and compliance
For AIM Capital, our values are not financial results, but driving positive environmental and social impact in the communities where we live and do business.
Compliance Framework
AIM Capital as a European holding company operating worldwide, including the EU, the USA, Switzerland and other countries, is dedicated to cultivating and upholding a strong culture of ethics and compliance.
We prioritize conducting our business activities in strict adherence to the letter and the spirit of applicable laws, regulations and policies.
Our compliance and ethics program is founded on three core principles:
· Prevention: we focus on promoting a culture of ethics and integrity to proactively prevent compliance issues.
This goal is accomplished through our commitment to compliance and through our Code of Conduct, compliance policies, training programs, third party due diligence and other compliance efforts to minimize potential risks.
· Identification: we employ various strategies to identify potential compliance issues, such as rigorous testing conducted by both internal and external audit teams, diligent monitoring by our compliance team, and investigations of concerns reported by employees and third parties.
· Mitigation: we are committed to thoroughly assessing the underlying causes of compliance issues and continuously improving our controls and processes to mitigate the risk of recurrence. We maintain a steadfast commitment to disciplining employees who violate our policies and standards and we do not engage in business relationships with third parties who fail to meet our rigorous ethical standards.
AIM Capital and its subsidiaries comply with all applicable international, regional and national export control laws, sanctions, restrictive measures programs and embargoes.
Strict control over financial flows is executed to identify and block any funds or economic resources being potentially available directly or indirectly to the individuals subject to the applicable sanctions.
AIM Capital acts responsibly while selecting Third Parties, and requests and reasonably expects compliance with high standards from its Third Parties.
Thorough Due Diligence is properly performed to identify, mitigate and potentially avoid compliance risks.
AIM Capital aspires to nothing less than holding accountable to the highest ethical standards, while maintaining its business and non-business activities.
Independent rigorous compliance function designed to assess AIM Capital’s compliance framework and mitigate significant issues and compliance risks.
Top-level management established and supports the right tone to fortify AIM Capital’s reputation and ethical climate.
Reputable top-level management have made repeated undertakings to represent and warrant that they shall act in compliance with applicable sanctions legislation.
Employees and interested Third Parties are required to promptly escalate existing or potential violations of our core values, any law, regulation, policy or ethics to Compliance Hotline: compliance@aimcapital.ae. AIM Capital guarantees confidentiality.
Our policies prohibit retaliation. Employees or Third Parties will not suffer adverse consequences or retaliation for:
a. refusing to do something that violates our core values, any law, regulation, policy even if this refusal results in the loss of business to AIM Capital.
b. Raising a concern about potential misconduct in good faith.
AIM Capital and its subsidiaries comply with all applicable international, regional and national export control laws, sanctions, restrictive measures programs and embargoes.
- Strict control over financial flows is executed to identify and block any funds or economic resources being potentially available directly or indirectly to the individuals subject to the applicable sanctions.
- AIM Capital acts responsibly while selecting Third Parties, and requests and reasonably expects compliance with high standards from its Third Parties.
- Thorough Due Diligence is properly performed to identify, mitigate and potentially avoid compliance risks.
- AIM Capital aspires to nothing less than holding accountable to the highest ethical standards, while maintaining its business and non-business activities.
- Independent rigorous compliance function designed to assess AIM Capital’s compliance framework and mitigate significant issues and compliance risks.
- Top-level management established and supports the right tone to fortify AIM Capital’s reputation and ethical climate.
- Reputable top-level management have made repeated undertakings to represent and warrant that they shall act in compliance with applicable sanctions legislation.
- Employees and interested Third Parties are required to promptly escalate existing or potential violations of our core values, any law, regulation, policy or ethics to Compliance Hotline: compliance@aimcapital.ae. AIM Capital guarantees confidentiality.
- Our policies prohibit retaliation. Employees or Third Parties will not suffer adverse consequences or retaliation for:
a. refusing to do something that violates our core values, any law, regulation, policy even if this refusal results in the loss of business to AIM Capital.
b. Raising a concern about potential misconduct in good faith.