Information Submission Guidance

The following provides guidance for information submission, in the context of the Trading Firm Methodology. All information can be uploaded securely via the Credora platform.

Initial Onboarding

KYC & Operations

• Submit information for the borrowing entity. See platform KYC Requirements.

• Complete the Due Diligence Questionnaire as directed by the Credora credit team.

• Submit a company deck and management overview, or similar documents.

• Submit a risk management policy document and a custody policy document, or similar documents.

Financial Information

• 2 years of Balance Sheets. If the company has a shorter operating history, submit the maximum available.

• 2 years of Income Statements. If the company has a shorter operating history, submit the maximum available.

• For Balance Sheets and Income Statements, our methodologies reward granularity. Monthly or quarterly submissions are preferred. Additionally, please submit a history where there are no reporting gaps greater than 3 months. See our financial submission policy for additional details.

• If the entity is a fund, submit documentation of monthly performance for the most recent 12 months. This can be in the form of a marketing one pager, fund fact sheet, or similar document.

• If you have signed with an auditor but have not yet produced audited financials, submit the signed engagement letter.

Asset Validation

• In the Risk Dashboard section of your account, submit read-only API keys for all relevant venues.

• If there are venues holding assets which are unsupported, upload account statements. Statements must have the name of the entity, account balance as of the date of the most recent balance sheet, and the name of the bank, brokerage, or other venue. See our account statement submission policy for additional details.

Recurring Submissions

KYC & Operations

• Provide notice of material changes to company strategy, operational policies, or custody infrastructure.

Financial Information

• Submit Balance Sheets and Income Statements as available (e.g. monthly or quarterly).