Regulatory request

REGULATORY DISCLOSURE AND CONTACT INFORMATION

REGULATORY COMMITMENT

Delphi Delta Investment Corporation is committed to full compliance with United States federal and state regulatory requirements governing cryptocurrency trading and investment services.

OUR COMPLIANCE FRAMEWORK:

Implement robust Know Your Customer (Identity verification) procedures and Anti-Money Laundering/Countering the Financing of Terrorism (AML/CFT) programs per FinCEN regulations (31 CFR Chapter X) and NY DFS requirements
Maintain client funds segregation and protection pursuant to SEC/CFTC customer asset protection rules (17 CFR § 240.15c3-3)
Provide comprehensive risk disclosures consistent with SEC Regulation Best Interest (Reg BI) and CFTC customer protection standards
Conduct continuous transaction monitoring, internal audits, and mandatory regulatory reporting (SAR/CTR filings)
Protect client data under Gramm-Leach-Bliley Act (GLBA), SEC Regulation S-P, and applicable state privacy laws (CCPA/CPRA)
Deploy enterprise-grade information security measures per NIST Cybersecurity Framework

REGULATORY CONTACT INFORMATION

For regulatory inquiries, compliance concerns, or supervisory matters:
Compliance Department
"Email" : compliance@delphidelta.com
"Phone" : (212) 555-0199

RESPONSE COMMITMENT

We acknowledge all regulatory correspondence within two (2) business days and provide substantive responses within ten (10) business days, or sooner as required by applicable regulations.

If you do not receive acknowledgment, please:

Check spam/junk folders
Resend to compliance@delphidelta.com AND legal@delphidelta.com

REGULATORY INFORMATION DISCLOSURE

Complete regulatory disclosures, compliance documentation, and licensing information available.

Including:

Identity verification/AML Policy
Risk Disclosure Statement
Privacy Policy
Complaints Handling Policy
Best Execution Policy
Client Agreement

All documents updated as of February 2026.