Compliance
Cask Empire is committed to operating with transparency, integrity, and robust internal controls appropriate to a private alternative-asset marketplace.
Client Funds Handling
In certain transactions, Cask Empire may temporarily hold client funds for the purpose of facilitating settlements between buyers and sellers. Funds are held solely on a pass-through basis and are not used for operational purposes, lending, or investment.
Client funds are typically held pending:
- Confirmation of payment from the buyer
- Completion of ownership transfer documentation
- Settlement to the seller or reimbursement to the client, as applicable
Funds are released promptly once contractual and documentary conditions are satisfied.
Ownership & Transaction Controls
Cask Empire applies internal compliance standards designed to:
- Verify ownership documentation (including Delivery Orders) prior to listing
- Confirm warehouse recognition of ownership where required
- Reduce fraud, misrepresentation, and duplicate claims
- Support orderly settlement and transfer processes
AML & KYC
Where appropriate, Cask Empire may conduct:
- Identity verification (KYC)
- Transaction monitoring
- Source-of-funds checks
These measures are applied proportionately and in line with anti-money laundering principles.
Regulatory Position
Cask Empire does not act as:
- A financial adviser
- A discretionary investment manager
- A custodian of whisky casks or warehouse assets
The platform does not provide regulated financial services, and users remain responsible for their own tax, legal, and investment decisions.
Cask Empire cooperates fully with lawful requests from regulatory, judicial, or enforcement authorities.