Compliance

WM Trade is firmly committed to integrity, transparency and compliance with all applicable legal and regulatory requirements in the conduct of its legal and transactional advisory activities. This commitment guides the way we engage with clients, counterparties, financial institutions and public authorities, both in Brazil and in the jurisdictions in which we provide advisory services.

Our practice strictly observes professional confidentiality and the Brazilian Bar Association (OAB) Code of Ethics and Discipline and is aligned with international standards relating to anti-money laundering, anti-corruption, international sanctions and data protection, including the Brazilian General Data Protection Law (LGPD), the General Data Protection Regulation (GDPR) and Swiss data protection legislation (FADP). We apply client and transaction due diligence procedures proportionate to the nature and complexity of each transaction.

We maintain a formal compliance framework, led by a Compliance Officer with the autonomy required to oversee its implementation, as well as a whistleblowing channel that ensures the confidentiality of the reporting individual and prohibits any form of retaliation. Our internal policies are reviewed periodically to ensure that they remain aligned with legislative, regulatory and market developments.

WM Trade’s activities as a law firm are segregated from custody and asset safekeeping activities, which are carried out by a separate entity within the group, thereby preserving the independence of the legal advisory services provided to our clients.

Our Compliance and Ethics Code is available upon request as part of our relationship and onboarding process with clients and institutional partners.