Policies and Procedures

At Zillion Capital Securities , we are committed to maintaining the highest standards of regulatory compliance, operational transparency, client protection, and information security. Our Policies & Procedures framework is designed in accordance with the requirements of the Pakistan Stock Exchange, Securities and Exchange Commission of Pakistan, and other applicable regulatory authorities to ensure a secure and reliable environment for our clients and stakeholders.

Know Your Customer (KYC) Policy

Our KYC Policy is implemented to verify the identity of clients and ensure that all customer relationships are established through proper due diligence procedures. The policy enables the Company to assess client profiles, monitor account activities, and prevent misuse of financial services for unlawful purposes. Clients are required to provide valid identification documents, financial information, and other relevant details in compliance with regulatory obligations.

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Anti-Money Laundering (AML) & Counter Financing of Terrorism (CFT) Policy

Zillion Capital Securities maintains a strict AML/CFT framework to combat money laundering, terrorist financing, and other illicit financial activities. The Company follows a risk-based approach to identify, monitor, and report suspicious transactions in accordance with applicable laws and regulatory guidelines. Continuous monitoring systems, employee awareness programs, and internal controls are maintained to ensure full compliance with AML/CFT regulations.

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Customer Due Diligence (CDD) & Enhanced Due Diligence (EDD) Policy

The Company conducts Customer Due Diligence procedures to evaluate the nature of customer relationships and assess associated risks. Enhanced Due Diligence measures are applied to high-risk clients, politically exposed persons (PEPs), and complex transactions requiring additional scrutiny. These procedures help ensure transparency, reduce financial crime risks, and maintain the integrity of the financial system.

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Minimum Information Technology Security Standards

Zillion Capital Securities is committed to protecting its technological infrastructure, client information, and operational systems through robust Information Technology Security controls. The Company implements security measures including access controls, data protection protocols, system monitoring, antivirus protection, secure network architecture, backup procedures, and cybersecurity practices to safeguard confidential information and maintain system integrity.

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Disaster Recovery (DR) & Business Continuity (BC) Policy

The Company has established Disaster Recovery and Business Continuity procedures to ensure uninterrupted business operations during unforeseen events, system failures, natural disasters, or emergencies. Our DR & BC framework includes data backup mechanisms, recovery plans, alternate operational arrangements, and periodic testing to minimize disruptions and ensure continuity of critical services for clients and stakeholders.

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Commitment to Compliance & Governance

Zillion Capital Securities continuously reviews and updates its policies and procedures to align with evolving regulatory requirements, industry standards, and technological advancements. Through strong governance practices and effective risk management, the Company remains dedicated to maintaining client confidence, operational resilience, and ethical business conduct.