Institutional Standards. Independent Oversight.
Synapse Capital operates within a framework designed around regulatory compliance, independent oversight, asset segregation, financial controls, information security, and transparent reporting.
Our approach brings together internal governance and established third-party institutions to support the standards expected by qualified and institutional clients.
Built on Multiple Layers of Control
Institutional trust requires more than a single control. Our framework combines regulatory compliance, independent financial review, third-party custody, established banking relationships, information security, client verification, and ongoing oversight.
Regulatory & Compliance
FinCEN · SEC Framework · Regulation D · BSA/AML
Independent Audit
Deloitte LLP
Independent Custody
State Street Corporation · BNY Mellon
Institutional Banking
JPMorgan Chase · Deutsche Bank · UBS Group
Information Security
ISO 27001 · SOC 2 Type II · CCPA
Client Controls
KYC · AML · Accredited Investor Verification · Source of Funds
Operating Within a Defined Framework
Synapse Capital's compliance framework is designed around the requirements applicable to its activities, offerings, and operating jurisdictions.
FinCEN Registered
Synapse Power AI LLC maintains registration with the U.S. Financial Crimes Enforcement Network (FinCEN), supporting applicable financial crime prevention and reporting obligations.
SEC Exempt Reporting Adviser
The platform operates under an exempt reporting adviser framework under the U.S. Investment Advisers Act, subject to applicable reporting and regulatory requirements.
Regulation D
Access to applicable private offerings is limited to eligible participants under the relevant exemptions and offering terms, including accredited investors as defined under Regulation D.
BSA / AML Program
Compliance controls incorporate identity verification, financial crime screening, source-of-funds review, sanctions controls, and ongoing monitoring.
Registration or regulatory status does not constitute endorsement by a regulator and does not eliminate investment risk.
Financial Reporting With Independent Review
Independent financial review provides an additional layer of accountability across the platform.
Deloitte LLP
Annual and quarterly reviews support the integrity of financial reporting, portfolio transparency, and institutional oversight.
Financial information and performance reporting are maintained within a structured reporting framework designed to provide qualified clients with clear visibility into their capital and underlying portfolio activity.
Annual Audit
Independent annual financial review.
Quarterly Reviews
Periodic review of financial and portfolio reporting.
Performance Verification
Independent review supporting reported financial information.
Reporting Controls
Structured processes supporting consistency and transparency.
Independent. Segregated. Accountable.
Client asset custody is maintained independently from Synapse Capital's day-to-day operating activities.
Independent third-party custody and asset servicing.
Independent third-party custody and asset servicing.
Independent third-party custody provides an additional layer of separation between asset management activities and the safekeeping of client assets.
Applicable custody arrangements depend on the relevant strategy, account, structure, and governing documentation.
Established Financial Counterparties
Synapse Capital works with established global financial institutions supporting banking, treasury, capital management, and institutional financial infrastructure.
JPMorgan Chase
Institutional banking and capital management partner supporting the platform.
Deutsche Bank
Institutional banking and capital management partner supporting the platform.
UBS Group
Institutional banking and capital management partner supporting the platform.
These relationships form part of the broader financial architecture supporting the platform's operations and capital activities.
Know Your Client. Know Your Capital.
Every institutional relationship begins with verification. Synapse Capital applies structured onboarding procedures designed to establish identity, eligibility, jurisdiction, and the origin of capital before participation is approved.
Identity Verification
Verification of individual or institutional identity and supporting documentation.
Investor Classification
Confirmation of accredited or qualified status where applicable.
KYC / AML
Know Your Customer and Anti-Money Laundering screening.
Source of Funds
Review of the origin and legitimacy of subscribed capital.
Sanctions & Jurisdiction
Screening against applicable sanctions, restrictions, and jurisdictional requirements.
Ongoing Monitoring
Compliance review continues beyond initial onboarding where required.
A Structured BSA / AML Program
Our BSA/AML framework is designed to identify and manage financial crime risks throughout the client relationship.
The level of due diligence applied may vary according to client type, jurisdiction, transaction characteristics, and assessed risk.
Protecting Systems, Data and Access
Information security forms part of the institutional control environment supporting Synapse Capital and the broader Synapse Power AI ecosystem.
ISO 27001
Structured controls for managing information security risks across systems, processes, and organizational operations.
SOC 2 Type II
Independent assessment of relevant controls and their operation over time.
CCPA
Processes supporting applicable requirements around personal information and privacy.
Penetration Testing
Regular technical testing designed to identify vulnerabilities and strengthen system resilience.
Separation Between Management and Custody
Synapse Capital's asset management activities are structured separately from applicable custody arrangements. This separation is intended to reduce operational concentration and provide clear accountability for the management and safekeeping of client assets.
Specific structures vary according to the applicable strategy and documentation.
Synapse Capital
Independent Custody
Additional Layers of Safeguards
Applicable structures may incorporate additional safeguards alongside independent custody, financial controls, and portfolio risk management.
Capital Guarantee Structure
Structured mechanisms designed to provide additional protection under defined terms and conditions.
Institutional Banking Guarantees
Applicable banking arrangements may provide additional contractual protection within specified structures.
Insurance Arrangements
Certain assets or structures may be supported by relevant insurance coverage.
SIPC Awareness Program
Client communications include information regarding applicable securities-account protections and the scope and limitations of SIPC coverage where relevant.
Important: The existence of a guarantee, insurance policy, custody arrangement, or other safeguard does not eliminate investment risk. Availability and coverage depend on the applicable product, institution, account structure, contractual terms, and jurisdiction.
Accountability Across the Platform
Governance is integrated across portfolio management, compliance, financial reporting, operations, technology, and risk. Our control environment is designed to maintain clear responsibilities, documented processes, escalation procedures, and ongoing oversight across material areas of the platform.
Explore Risk ManagementClear Reporting. Consistent Oversight.
Qualified clients receive structured reporting designed to provide visibility into portfolio activity, performance, allocations, distributions, and material developments.
Allocation and underlying asset information.
Periodic performance and attribution information.
Records of applicable income and distributions.
Periodic financial reporting.
Applicable reporting and tax documents.
Communication regarding significant portfolio or operational developments.
Standards Supporting the Platform
FinCEN Registered
U.S. financial crime regulatory framework.
SEC Exempt Reporting Adviser
Applicable U.S. investment adviser reporting framework.
Regulation D
Private offering and accredited investor framework.
BSA / AML
Financial crime prevention and client due diligence.
ISO 27001
Information security management.
SOC 2 Type II
Independent systems and controls assessment.
Independent Audit
Deloitte LLP.
Independent Custody
State Street Corporation and BNY Mellon.
Trust Is Built Through Structure
Institutional trust depends on clear responsibilities, independent oversight, strong controls, and transparency.
Synapse Capital combines regulatory compliance, independent financial review, third-party custody, established financial counterparties, information security standards, and disciplined governance within a framework designed for qualified and institutional capital.