SERVICES
Compliance Framework: Stages A–F
Our services are structured around a standardized six-stage compliance architecture designed for transaction-level risk verification.
STAGE A
Counterparty Screening (KYC/KYB)
Verification of legal existence, ownership structure, and legitimacy of counterparties. Includes:
- Corporate documentation review
- UBO identification and mapping
- Litigation and adverse media screening
- Contact and operational validation
- Commodity-specific licensing and regulatory review (as applicable)
STAGE B
Compliance & Sanctions Screening
Evaluation of cargo, vessel, route, and parties against applicable sanctions regimes. Includes:
- OFAC, EU, UK, UN, UAE list screening
- Embargo and trade-route review
- Secondary exposure analysis
- Commodity-specific regulatory exposure
STAGE C
Product Verification
Verification of product documentation and proof of control. This phase ensures compliance with international trade specifications and physical reality of assets, ensuring full risk transparency before institutional commitment.
- Certificates of origin validation
- Inspection certificate authentication
- Bill of Lading and tank/vessel verification
- Logistics documentation review
STAGE D
Contract Review
Legal and operational alignment of transaction documentation. Includes:
- Incoterm verification
- Payment instrument compliance (UCP600 / URDG758)
- Title-transfer review
- Arbitration and enforcement clause evaluation
STAGE E
Bank & Instrument Validation
Authentication of financial instruments and issuing institutions. Includes:
- MT700 / MT760 / MT799 / MT199 review
- SBLC/DLC wording validation
- Issuing bank credibility review
- Monetization and compliance alignment assessment
STAGE F
Chain of Custody & AML (Precious Metals Only)
Enhanced traceability controls for high-risk commodities. Our structured methodology ensures rigorous compliance and auditing across the entire chain of custody.
- OECD 5-Step due diligence alignment
- Mine-to-buyer traceability mapping
- AML/CFT declarations
- Document integrity controls
Service Packages – Oil & General Commodities
Tier 1 – Counterparty & Sanctions Screening
Includes Stages A + B. We charge an engagement fee per transaction or a monthly retainer including (up to four reviews).
Tier 2 – Full Transaction Compliance Package
Includes Stages A + B + C + D + E. We charge an engagement fee per transaction or a monthly retainer including (up to four reviews).
Transaction Assurance Mandates
For complex or high-value transactions, Alethexa may be engaged under a Transaction Assurance Mandate, providing independent oversight throughout the transaction lifecycle. This structure is typically applied where significant capital is deployed and key risks may only become apparent during execution. Under such mandates, Alethexa performs continuous validation and monitoring, identifying structural, operational, and compliance risks as they emerge, allowing stakeholders to address issues before exposure escalates. Engagements are typically structured as a transaction-based oversight fee, generally ranging from 0.25% to 0.75% of transaction value, reflecting the scope and complexity of ongoing monitoring.
Service Packages – Precious Metals (Gold & High-Risk Metals)
Transparent cost architecture for transaction verification, physical assay, and mine-to-market due diligence protocols.
Comprehensive Gold Compliance Package
Includes Stages A + B + C + D + E + F. We charge an engagement fee per transaction or a monthly retainer including (up to four reviews).
Additional Services
Physical Verification & On-Site Assessment
Case-specific supplemental engagements providing independent, in-country verification of operational claims, cargo existence, storage conditions, and documentation authenticity where transaction risk warrants enhanced scrutiny. Scope calibrated to jurisdictional and commodity-specific exposure.
Legal Structuring & Transaction Advisory
Separate engagement terms available for commodity contract structuring, risk allocation refinement, sanctions-clause drafting, payment instrument restructuring, arbitration alignment, and cross-border enforceability design. Engagements focused on strengthening transactional defensibility and regulatory resilience.
Banking & Instrument Advisory Support
Independent review and restructuring of trade finance instruments, monetization structures, escrow pathways, and compliance alignment for complex or high-value transactions. Engagement terms defined per scope.
Ongoing Monitoring & Mandated Oversight
Structured recurring review arrangements for repeat traders requiring continuous counterparty screening, sanctions monitoring, instrument review, and transaction-level risk updates across multiple deals.