Regulatory & Governance

RND Capital operates as a private firm. This page provides general information about RND Capital's regulatory posture, governance framework, and service providers. It is informational only — not a representation, warranty, or undertaking as to current regulatory status in any specific jurisdiction.

1. Status & eligibility

RND Capital does not solicit retail investors and does not offer its services to the public through this Site. Access to investment materials is restricted to wholesale, professional, accredited or qualified investors as those terms are defined under applicable law in the investor's jurisdiction. Where required, RND Capital's affiliates hold registrations, licences, exemptions, or rely on private-placement frameworks appropriate to their activities.

Nothing on this Site constitutes an offer or solicitation to subscribe for any fund, security, or financial product. Any such offer would be made only by separate offering documents to eligible investors.

2. Australian regulatory posture

RND Capital is headquartered in Brisbane, Queensland. To the extent its Australian operations involve activities for which authorisation is required under the Corporations Act 2001 (Cth), RND Capital operates either under its own Australian Financial Services Licence (AFSL), as an authorised representative, or under an applicable exemption — including the wholesale-client provisions of section 761G. RND Capital is enrolled with AUSTRAC where reporting obligations apply under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006.

Specific licence, authorisation, and registration details are made available to counterparties and prospective wholesale investors on request via our contact form.

3. Jurisdictional scope & distribution restrictions

RND Capital complies with the laws and regulations applicable to its activities. The Site is not directed at, and is not intended for distribution to or use by, any person in any jurisdiction where such distribution or use would be contrary to law or regulation.

The Site and any materials made available through it are not for distribution to persons located in jurisdictions subject to comprehensive economic sanctions, nor to any person resident in a jurisdiction where the offer or sale of interests in RND Capital's funds or services would be unlawful absent registration or a qualifying exemption.

4. Governance & service providers

RND Capital's governance framework is designed to meet the standards expected of institutional counterparties and wholesale investors. Across the firm, RND Capital engages independent, institutional-grade service providers in the following categories:

• Fund administration — independent third-party administrator responsible for NAV calculation, investor recordkeeping, and AML/KYC oversight at the fund level.
• Audit — annual audit of RND Capital's funds and entities by an internationally recognised audit firm.
• Custody — institutional custody arrangements, with segregation of client and house balances where applicable.
• Service providers — relationships with regulated institutional counterparties and specialist providers.
• Legal counsel — counsel supporting fund formation, governance, and cross-border matters.
• Tax — tax advisory and reporting handled by an independent professional services firm.

Specific service provider names are disclosed to qualifying counterparties and prospective wholesale investors during diligence.

5. Anti-money-laundering, sanctions & KYC

RND Capital maintains policies and procedures designed to comply with applicable anti-money-laundering ("AML"), counter-terrorist financing, sanctions, and know-your-counterparty laws. Counterparties and investors are subject to onboarding diligence and ongoing monitoring, and are expected to maintain comparable standards.

6. Conflicts of interest

RND Capital maintains an internal conflicts-of-interest framework intended to identify, manage, and where appropriate, disclose conflicts arising between the firm, its personnel, and its counterparties. Personnel are subject to a personal-account policy and a gifts-and-entertainment policy.

7. Independent oversight

The firm operates with an independent risk function and an internal compliance function supported by external advisers. Material policies are reviewed at least annually.

8. Recordkeeping

RND Capital retains records of its operational activity in accordance with applicable laws and regulations, and for such other periods as it determines are appropriate.

9. Whistleblowing & reporting

RND Capital encourages the reporting of any suspected misconduct, including breaches of regulation or of its internal code of conduct. Reports may be made confidentially via our contact form with the subject line "Whistleblowing". Reports are routed to the head of compliance and, where appropriate, to independent counsel.

10. Inquiries from regulators

Inquiries from regulatory or law-enforcement authorities should be directed via our contact form. RND Capital will respond promptly and in good faith.

Last updated: 2026. The information on this page is provided for general information only and does not constitute legal, regulatory, tax, or investment advice. Where RND Capital's regulatory status, licence numbers, or service-provider identities are required, they will be disclosed under the appropriate diligence channel.