1. Current Regulatory Status
SigmaPointPi Inc. ("SigmaPointPi" or "SPP") is a Delaware C corporation operating live software platforms for financial operating systems, corporate treasury, payments, intelligence infrastructure, and related enterprise services. We maintain regulatory and compliance programs appropriate to the jurisdictions and product areas in which we operate or partner.
As of the effective date of this Compliance Statement:
- SigmaPointPi is not acting as, and does not hold itself out as, a registered broker dealer, investment adviser, commodity trading advisor, commodity pool operator, swap dealer, futures commission merchant, or bank, nor any equivalent regulated financial institution.
- SigmaPointPi does not execute trades, manage client investment portfolios, or accept client funds or assets for trading, investment management, or advisory mandates.
- Our platforms and Services are software and intelligence infrastructure offerings. They are not regulated financial products in themselves, and availability of specific features may depend on jurisdiction, eligibility, and separate agreements.
- Nothing on this website constitutes an offer to sell or the solicitation of an offer to buy any securities or other financial instruments.
- Any activities that require registration, licensing, or approval will be undertaken only after completing applicable requirements and will be governed by specific documentation and regulatory frameworks.
2. Compliance Principles
SigmaPointPi is designing its systems and governance to align with high standards of compliance, risk management, and ethical conduct. Our core principles include:
- Legal and regulatory adherence: We seek to identify and comply with applicable laws and regulations in the jurisdictions in which we operate or target users, including securities, commodities, banking, data protection, sanctions, and export control regimes, as applicable.
- Robust governance: We intend to establish formal governance structures, including clear lines of responsibility, oversight mechanisms, and independent input where appropriate, consistent with expectations for regulated financial and intelligence related institutions.
- Risk management: We aim to implement multi layer risk frameworks that address market, credit, liquidity, operational, model, data, technology, cybersecurity, and conduct risk, with mechanisms for monitoring, escalation, and remediation.
- Transparency and integrity: We strive to provide transparent, accurate, and balanced information about our research, capabilities, and limitations, and to avoid misleading or exaggerated statements about performance or readiness.
- Confidentiality and information handling: We are committed to protecting sensitive information, including user data, investor communications, and proprietary models, subject to legal and regulatory requirements.
These principles are aspirational and will continue to evolve as SigmaPointPi matures and as the legal and regulatory environment develops.
3. Securities Law and Investor Communications
SigmaPointPi may from time to time engage in preliminary, confidential discussions with potential strategic, institutional, and accredited investors regarding possible investments in the company.
In connection with such activities:
- All discussions are intended to be conducted in accordance with applicable securities laws and regulations, including limitations on public solicitation and advertising where required.
- Any actual securities offerings, if and when they occur, will be made only pursuant to definitive offering materials that describe the terms and risks in detail and that are provided only to eligible investors under applicable exemptions or registration regimes.
- No content on this website, including any "Investment Opportunities" language or this Compliance Statement, is intended to constitute general solicitation or general advertising within the meaning of applicable securities laws.
- Investors and prospective investors should rely only on final, executed documentation and official communications in connection with any investment decisions.
4. Financial Crime, Sanctions, and AML
Where SigmaPointPi or its partners undertake activities subject to anti money laundering, counter terrorist financing, financial crime, and sanctions requirements, we implement or require compliance controls appropriate to those activities, which may include:
- Customer and counterparty due diligence and verification where required.
- Screening against relevant sanctions lists and other restricted party lists.
- Monitoring for suspicious transactions and behaviors, and reporting to appropriate authorities where required.
- Policies and procedures designed to prevent misuse of SigmaPointPi systems for unlawful purposes.
These controls are implemented at a scale appropriate to our current operations and the regulated activities we or our partners perform.
5. Data Protection and Privacy
SigmaPointPi recognizes its obligations with respect to personal information and intends to comply with applicable data protection and privacy laws, including, where applicable, laws in the United States, the European Economic Area, the United Kingdom, and other relevant jurisdictions.
Our Privacy Policy describes how we collect, use, share, and protect personal information and provides information about your rights and choices. We expect to review and update our privacy and security practices as our operations expand and as legal requirements evolve.
6. Use of Data and Intelligence
Given the nature of SigmaPointPi's work across finance, politics, health, defense, and global economics, we are attentive to legal and ethical issues related to:
- Use of public, proprietary, and potentially sensitive data sets.
- Respect for confidentiality obligations and contractual restrictions on data use.
- Avoidance of unlawful insider trading, misuse of material non public information, or inappropriate influence over markets or political processes.
- Responsible deployment of AI and algorithmic systems, including addressing potential bias, robustness, and alignment with legal and ethical standards.
We aim to embed controls into our data ingestion pipelines, model development processes, and deployment frameworks to address these concerns.
7. No Circumvention of Regulatory Requirements
SigmaPointPi does not design or operate systems with the intent to evade or circumvent applicable regulatory requirements. Where regulatory obligations apply to our users or partners, it is their responsibility to comply with such obligations, and SigmaPointPi expects them to do so. We reserve the right to decline or terminate relationships that are inconsistent with our compliance obligations or risk appetite.
8. Ongoing Development and Updates
This Compliance Statement reflects SigmaPointPi Inc.'s current operations and understanding of its regulatory footprint as of the effective date. As our products, jurisdictions of operation, or regulatory obligations change, we expect to:
- Update this Compliance Statement and related disclosures.
- Implement additional policies, procedures, and controls.
- Engage with appropriate legal, regulatory, and compliance experts.
Nothing in this Compliance Statement grants any rights or imposes any obligations that are not already required by applicable law or contract, and it is not intended to be a comprehensive description of all risks or regulatory considerations.
For questions related to compliance, regulatory status, or legal matters, please contact:
SigmaPointPi Inc.
Attn: Compliance
Email: spp@sigmapointpi.com
Phone: +1 (413) 428-5439