Rechtlich & Compliance

1. Regulatorischer Status & Lizenzierung

METAL GEAR SAS ist ein Anbieter von Kryptovermögensdiensten, der ordnungsgemäß autorisiert und reguliert ist gemäß der Verordnung über Märkte für Kryptoanlageprodukte (MiCA), Verordnung (EU) 2023/1114, die am 27. Dezember 2023 in Kraft trat und am 30. Dezember 2024 vollständig anwendbar wurde.

2. MiCA Compliance Framework

METAL GEAR operates under full MiCA compliance, which establishes harmonised rules across the European Union for crypto-asset service providers. Our compliance obligations include:

• Capital and liquidity requirements as specified in MiCA Articles 26–29
• Operational resilience and business continuity planning
• Customer asset protection and segregation requirements
• Governance, risk management, and compliance frameworks
• Conflicts of interest policies and best execution procedures
• Organisational requirements including a Compliance Officer and internal audit function
• Transparency and disclosure obligations
• Regular supervisory reporting to the AMF

3. Know Your Customer (KYC) & Anti-Money Laundering (AML)

METAL GEAR implements comprehensive KYC and AML procedures in compliance with MiCA Article 13 and EU Anti-Money Laundering Directives (AMLD5/AMLD6):

• Customer Due Diligence (CDD): All users must complete identity verification before trading. We collect name, date of birth, nationality, residential address, and government-issued identity documents.
• Beneficial Ownership Verification: For corporate customers, we verify the beneficial owners and ultimate beneficial owners per MiCA requirements.
• Politically Exposed Persons (PEPs) Screening: Customers are screened against international PEP databases and sanctions lists (OFAC, EU, UN, etc.).
• Transaction Monitoring: All deposits, withdrawals, and trades are monitored for suspicious activity patterns.
• Reporting Obligations: Suspicious transactions are reported to the Financial Intelligence Unit (Tracfin) as required by law.
• Record Retention: All KYC documentation and transaction records are retained for minimum 7 years.

4. Financial Crime Prevention

METAL GEAR employs institutional-grade financial crime prevention measures:

• Sanctions Screening: All users and transactions are screened against OFAC, EU, UN, and other relevant sanctions lists in real-time.
• Fraud Detection: Advanced algorithms identify unusual trading patterns, suspicious fund sources, and potential fraud indicators.
• Market Abuse Prevention: We monitor for insider trading, market manipulation, and pump-and-dump schemes.
• Theft Prevention: Stolen asset screening prevents known stolen digital assets from being traded on our platform.
• Enhanced Due Diligence (EDD): High-risk customers undergo additional verification including source of wealth certification.

5. Risk Disclosures & Warnings

CRITICAL RISK ACKNOWLEDGEMENT: Cryptocurrency trading and digital asset investment carry substantial financial risk. Users must acknowledge these risks before accessing our platform:

• Market Volatility Risk: Crypto-asset prices are highly volatile and can fluctuate dramatically in short periods, resulting in total loss of invested capital.
• Regulatory Risk: Changes in laws, regulations, or government actions may adversely impact the value of crypto-assets or restrict trading access.
• Technology Risk: Digital asset trading depends on internet connectivity, exchange infrastructure availability, and blockchain network functionality.
• Liquidity Risk: Some trading pairs may have limited liquidity, resulting in slippage or inability to execute trades at desired prices.
• Custody Risk: While METAL GEAR uses cold storage for institutional reserves, no system is 100% secure against theft, hacking, or technical failure.
• Counterparty Risk: Fiat transactions depend on banking partners; bank failures or technical issues may prevent withdrawals.
• Leverage & Margin Risk: If offered, leveraged trading significantly amplifies losses and may result in margin calls and forced liquidation.
• Past Performance: Historical price performance is not indicative of future results.

6. Consumer Protection Measures

METAL GEAR implements robust consumer protection measures aligned with MiCA and EU financial services directives:

• Mandatory risk warnings displayed before trading on all platforms
• Clear fee disclosure and cost transparency
• Segregation of customer funds from company capital
• Account insurance coverage (details provided in separate documentation)
• Complaints handling procedure with defined resolution timeframes (see Section 8)
• Access to Alternative Dispute Resolution (ADR) mechanisms
• Execution quality reports published quarterly
• Order routing and best execution policies

7. Data Protection & Privacy

METAL GEAR processes customer data in strict compliance with the General Data Protection Regulation (GDPR) (EU) 2016/679 and national data protection laws. For complete information on data processing, privacy rights, and data security measures, please refer to our Privacy Policy.

Key data protection principles: Lawful basis for processing · Data minimisation · Purpose limitation · Storage limitation · Integrity and confidentiality · User rights (access, rectification, erasure, portability) · Data Protection Officer availability.

8. Complaints & Dispute Resolution

METAL GEAR maintains a robust complaints handling procedure to address customer grievances promptly and fairly:

• Informal Resolution (Stage 1): Submit complaints to support@metalgear.co.com. We will acknowledge within 5 business days and aim to resolve within 15 business days.
• Formal Complaint (Stage 2): If informal resolution fails, lodge a formal complaint with our Compliance Officer, including detailed description, supporting documentation, and desired resolution.
• Final Response: Within 30 calendar days of formal complaint receipt, we will provide a final response with reasoning and next steps.
• Alternative Dispute Resolution (ADR): If dissatisfied with our response, customers may escalate to independent ADR providers or competent regulatory authorities.
• Regulatory Escalation: Complaints can also be directed to the AMF (Autorité des Marchés Financiers) or relevant member state authorities.

9. Business Continuity & Operational Resilience

METAL GEAR maintains comprehensive business continuity and operational resilience plans to ensure service continuity during disruptions:

• Redundant infrastructure and data centres in geographically diverse locations
• Real-time data backup and disaster recovery protocols
• Emergency procedures for cybersecurity incidents and system outages
• Incident notification procedures (customers notified of service disruptions promptly)
• Regular testing and scenario planning for major disruption events
• Documented procedures for orderly wind-down of services if required

10. Conflicts of Interest Policy

METAL GEAR maintains a conflicts of interest policy to ensure fair treatment of customers and prevent potential conflicts from affecting service quality:

• Formal conflicts of interest register maintained and regularly reviewed
• Restrictions on personal trading by employees (prohibition on front-running and insider trading)
• Information barriers (Chinese walls) between risk, compliance, and trading functions
• Third-party relationships and affiliate arrangements disclosed to customers
• Best execution procedures ensure customer orders are not disadvantaged by company interests

11. Regulatory Reporting & Transparency

METAL GEAR complies with mandatory regulatory reporting requirements under MiCA and EU financial services regulations:

• Quarterly supervisory reports to the AMF detailing market activity, customer base, and compliance status
• Annual financial statements audited by independent external auditors
• Capital adequacy reporting demonstrating compliance with MiCA capital requirements
• Execution quality reports published quarterly for major trading venues
• Cybersecurity and operational resilience reports as required by NIS2 Directive
• Anti-money laundering and sanctions compliance reporting

12. Contact & Further Information

For legal, compliance, or regulatory enquiries, please contact:

13. Policy Updates & Amendments

This Legal & Compliance document is reviewed regularly to reflect changes in regulations, our business practices, and legal requirements. Material updates will be communicated to customers via email or prominent notice on our website. Continued use of METAL GEAR services following updates indicates acceptance of revised terms.

Last Updated: April 2026

Version: 1.0

Next Review: April 2027