Compliance and Security
Amba’s compliance processes adhere to international regulatory requirements of the financial services industry with respect to client confidentiality, IP ownership, information security, prohibition of market manipulation and insider trading, physical security, and apportionment of liability. Amba Research has a zero-tolerance policy for compliance violations.
All our delivery centers have achieved the globally recognized ISO 27001 certification for compliance, information security and business continuity. Access to all client information is controlled by means of client-dedicated drives and physical access policies which ensure that such material is viewed only on a need-to-know basis. Monitoring procedures also include random e-mail and access audits.
Our security infrastructure is audited every six months by an independent third-party certification body and every three months by internal auditors.
Personal share trading is highly regulated at Amba. Securities on the in-house ”restricted list” cannot be traded in at all, and all employees must submit their trading account statements each quarter. We also monitor and carry out independent verification of employees’ trading transactions when needed.