Aurora FX Trading Ltd

Corporate client - reference 100009

RiskAssessed

Onboarding lifecycle

1Draft
2Screening
3Risk assessed
4Pending review
5Active

Current status: RiskAssessed
Current step: RiskAssessed
Assigned reviewer: Trevor Clein
Enhanced due diligence: Required
Prepared by: Igor Lipovetsky
Decision reason: Not provided

Resume onboarding

Risk assessment

iFAST floor

Low

LionGM rule

High

Final applied risk

High

EDD required

Yes

Owner: Trevor Clein
Review cadence: 12 months
Next review due: 2027-07-21
Country risk version: 2026-04
Industry risk version: 2026-04
Decided by: Igor Lipovetsky

Rationale

Industry "Foreign exchange and money services business" maps to "FX Business" (score 12), base risk High. Material link outside core geographies (UK, EU/EEA, Hong Kong, Israel), noted as a risk factor. iFAST applies no floor; the LionGM rating applies. Final risk is High, enhanced due diligence applies.

LionGM risk sits above the iFAST floor. The strictest rule applies.

Corporate CDD questionnaire

Legal name: Aurora FX Trading Ltd
Trading name: Not provided
Registration number: 12987654
Incorporation date: 18/01/2022
Jurisdiction: United Kingdom
Registered office: 1 Canada Square, London, E14 5AB, United Kingdom
Principal place of business: Not provided
Website: Not provided
Business email: Not provided
Business telephone: Not provided
Tax number: Not provided
Nature of business: Foreign exchange and money services business
Detailed activity: Not provided
Main products and services: Not provided
Main countries of operation: United Kingdom, United Arab Emirates, Hong Kong
Services requested: FX and cross-border settlement
Expected monthly value: 500,000 GBP
Expected largest transaction: 120,000 GBP
Main currencies: Not provided
Expected source countries: United Kingdom, United Arab Emirates
Expected beneficiary countries: Hong Kong, United Arab Emirates, Germany
Documents received: Not provided
Ownership structure: Not provided
Nominee structure: Not provided
Source of funds: Business or trading income
PEP exposure: No
Sanctions exposure: No
Adverse media: No
Third-party intermediary: Not provided
Gambling exposure: Not provided
Funding account verified: Not provided
First transaction support obtained: Not provided

Directors, shareholders and beneficial ownership

Aurora FX Trading Ltd
Registered in United Kingdom
- Daniel Roth
  UBO
  100%

Name	Role	Nationality	Date of birth	Identity document	US person	PEP	Sanctions	Adverse media	Screening
Daniel Roth	UBO	United Kingdom	27/06/1981	Passport GB8841203	No	No	No	No	Potential Match

Internal compliance checklist

#	Item	Status	Owner	Notes
1	Identity verification (Sumsub)	Completed	Igor Lipovetsky	Verified through Sumsub against the government photo identity document and the proof of address.

Documents obtained

No documents recorded

Client documents (portal)

Client portal link

Send this link to the client so they can upload their KYC documents securely.

0 files received4 required sections still missing

Passport or photo IDRequired

Missing

Not yet sent by the client.

Proof of addressRequired

Missing

Not yet sent by the client.

Source of fundsRequired

Missing

Not yet sent by the client.

Bank statementRequired

Missing

Not yet sent by the client.

Other document

None

No additional documents sent.

Requests and reminders

No outstanding requests. Raise one to chase the client for documents or evidence.

Screening

Result: Pass
Category: None
List version: dilisense global watchlist (live API)
Checked at: 2026-07-21
Reviewer: Asher Freed
Notes: Customer screened against sanctions, politically exposed person and adverse-media lists. No exposure identified.

Transaction monitoring

Book a transaction to test the client against the monitoring rules. The engine re-runs over the full history and raises any new alert.

Transactions

No transactions recorded

Monitoring alerts

No alerts

This client has no monitoring alerts against their current activity.

Periodic review history

Due date	Risk level	Status	Owner	Trigger event	Outcome
2027-07-21	High	Due	Trevor Clein	Onboarding risk assessment	Pending

Decision history

When	Event	Actor	Detail
21 Jul 2026, 15:30	Risk assessed	Igor Lipovetsky	High (EDD Yes, reviewer Trevor Clein) Industry "Foreign exchange and money services business" maps to "FX Business" (score 12), base risk High. Material link outside core geographies (UK, EU/EEA, Hong Kong, Israel), noted as a risk factor. iFAST applies no floor; the LionGM rating applies. Final risk is High, enhanced due diligence applies.

Audit trail

Append-only

When	Action	Actor	Change	Basis
21 Jul 2026, 15:30	Risk assessed	Igor Lipovetsky	Screening to High (EDD Yes, reviewer Trevor Clein) Industry "Foreign exchange and money services business" maps to "FX Business" (score 12), base risk High. Material link outside core geographies (UK, EU/EEA, Hong Kong, Israel), noted as a risk factor. iFAST applies no floor; the LionGM rating applies. Final risk is High, enhanced due diligence applies.	Policy 2026-04 2026-04/2026-04
21 Jul 2026, 15:29	Screening completed	Igor Lipovetsky	Draft to Screening (Pass) Customer screened against sanctions, politically exposed person and adverse-media lists. No exposure identified. A controlling person returned a potential match; the case is held for the MLRO.	Policy 2026-04 dilisense global watchlist (live API)
21 Jul 2026, 15:29	Identity verified	Igor Lipovetsky	Verified via Sumsub Identity and verification step completed via Sumsub.	Policy 2026-04
21 Jul 2026, 15:29	Draft created	Igor Lipovetsky	Draft Draft corporate onboarding file opened for Aurora FX Trading Ltd.	Policy 2026-04