Compliance Framework

Institutional-Grade Compliance

Goliath Market operates under a comprehensive compliance framework designed to meet the standards expected by institutional investors, regulators, and compliance teams. Every trade is monitored. Every participant is verified.

Platform Compliance Status

Continuously monitored

KYC

Active

MNPI Policy

Enforced

Market Surveillance

24/7 Active

Participant Eligibility

Enforced

Fund Security

Segregated

Oracle Integrity

Verified

KYC / AML Program

Active

Tiered identity verification with OFAC sanctions screening, PEP checks, and enhanced due diligence for institutional accounts. Automated ongoing monitoring with risk-based refresh cycles.

  • Identity verification via Jumio / Onfido
  • OFAC, EU, UN sanctions screening
  • PEP and adverse media monitoring
  • Enhanced due diligence for >$100K accounts

MNPI Policy

Enforced

Formal Material Non-Public Information policy requiring attestation before trading in markets where participants may have informational advantages. Restricted lists maintained and enforced.

  • Pre-trade MNPI attestation
  • Restricted person lists
  • Information barrier procedures
  • Quarterly compliance certifications

Market Surveillance

24/7 Active

Real-time surveillance for wash trading, spoofing, layering, cornering, and coordinated manipulation. Automated alerts with human review and escalation procedures.

  • Wash trade detection
  • Spoofing and layering alerts
  • Position concentration monitoring
  • Cross-market correlation analysis

Participant Eligibility

Enforced

Prohibited person screening for markets where participants may have direct influence on outcomes. Athletes, officials, and corporate insiders are restricted from relevant markets.

  • Outcome-influencer restrictions
  • Conflict of interest screening
  • Automated eligibility checks
  • Market-specific restriction lists

Fund Security

Segregated

Customer funds held in segregated accounts with qualified institutional custodians. Daily automated reconciliation with independent third-party audits.

  • Segregated customer accounts
  • Qualified custodian partnerships
  • Daily automated reconciliation
  • SOC 2 Type II certified

Oracle Integrity

Verified

Multi-source resolution framework with independent verification. All resolutions subject to a 24-hour dispute window with formal arbitration procedures.

  • Multi-source data verification
  • 24-hour dispute window
  • Independent arbitration panel
  • Full resolution audit trail

Regulatory Roadmap

Q1 2026Completed

CFTC Registration Filing

Submitted DCM application to the Commodity Futures Trading Commission.

Q1 2026Completed

SOC 2 Type II Audit Initiated

Engaged independent auditor for security and operational controls review.

Q2 2026In Progress

Platform Launch (Beta)

Invite-only launch with institutional partners. Full KYC/AML and surveillance active.

Q3 2026

CFTC Registration Approval

Expected approval of Designated Contract Market (DCM) application.

Q4 2026

Public Launch & NFA Membership

Open registration with full compliance framework and regulatory approvals.

Q1 2027

International Expansion

MiFID II compliance for European markets. FCA authorization process.

Need compliance documentation?

Request our full compliance package including SOC 2 reports, KYC procedures, and regulatory filings for your due diligence process.

Disclaimer: This is a demonstration platform. Goliath Market is not currently registered with the CFTC or any other regulatory body. The compliance framework described above represents the target state for the production platform. Regulatory registration applications are pending. No real trading or fund custody is active on this demo site. All market data shown is simulated.