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 monitoredKYC
MNPI Policy
Market Surveillance
Participant Eligibility
Fund Security
Oracle Integrity
KYC / AML Program
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
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
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
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
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
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
CFTC Registration Filing
Submitted DCM application to the Commodity Futures Trading Commission.
SOC 2 Type II Audit Initiated
Engaged independent auditor for security and operational controls review.
Platform Launch (Beta)
Invite-only launch with institutional partners. Full KYC/AML and surveillance active.
CFTC Registration Approval
Expected approval of Designated Contract Market (DCM) application.
Public Launch & NFA Membership
Open registration with full compliance framework and regulatory approvals.
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.