COMPLIANCE & RISK MANAGEMENT

Stream Energy Solutions LLC

Stream Energy Solutions LLC (SES) operates under a structured compliance and risk management framework to ensure all business activities comply with international regulations, financial governance standards, and responsible business practices.

Given the global nature of the oil and gas trading industry, SES maintains strict internal procedures to monitor trading activities, manage operational risks, and ensure full compliance with international regulatory frameworks.

Through disciplined governance and robust compliance systems, SES aims to maintain the trust of its partners, financial institutions, and international stakeholders.

Compliance Governance

SES maintains internal compliance policies aligned with internationally recognized regulatory standards governing global commodity trading.

Compliance oversight focuses on:

•Sanctions compliance

•Anti-money laundering procedures

•Counter-terrorist financing controls

•International trade regulations

•Corporate governance standards

The compliance function operates independently within the company and supports the board of directors in monitoring regulatory obligations.

Sanctions Compliance

Stream Energy Solutions LLC maintains strict policies to ensure compliance with international sanctions frameworks.

The company adheres to sanctions regimes issued by:

•United Nations

•United States Treasury Department (OFAC)

•European Union

•United Kingdom sanctions authorities

SES conducts sanctions screening procedures for all counterparties involved in trading activities to ensure that transactions comply with international regulatory requirements.

Anti-Money Laundering (AML) Framework

SES implements internal anti-money laundering procedures designed to prevent the misuse of financial systems and ensure transparency in all trading transactions.

These procedures include:

•Counterparty due diligence

•Financial transaction monitoring

•Document verification

•Compliance reporting procedures

Counterparty Due Diligence

Prior to engaging in any trading transaction, SES conducts due diligence procedures on counterparties, including suppliers, buyers, and trading partners.

Process may include:

•Verification of Company Registration Documentation

•Ownership and Shareholder Review

•Financial Credibility Assessment

•Compliance Background Checks

•Reputation and Market Standing Review

Market Risk

Market risk arises from fluctuations in commodity prices and global energy market conditions. SES manages market risk through disciplined trading strategies and structured transaction management.

Counterparty Risk

Counterparty risk refers to the possibility that a trading partner may fail to fulfill contractual obligations. SES mitigates this risk through financial verification procedures, contractual safeguards, and structured transaction frameworks.

Operational Risk

Operational risks may arise from logistical disruptions, shipping delays, or documentation errors within international trading operations. SES manages operational risks through coordination with experienced logistics partners and structured operational procedures.

Regulatory Risk

International commodity trading requires compliance with evolving regulatory frameworks. SES monitors regulatory developments across international jurisdictions to ensure that trading operations remain compliant with applicable regulations.

Internal Controls

•Segregation of Operational Responsibilities

•Documentation Verification Procedures

•Financial Oversight and Reporting

•Contract Review Processes

Commitment to Responsible Trading

Stream Energy Solutions LLC recognizes that responsible participation in global energy markets requires strong governance, transparency, and compliance discipline. The company remains committed to maintaining high standards of integrity across its trading activities while ensuring that operations align with international regulatory frameworks. Through its compliance and risk management systems, SES seeks to maintain long-term trust with its partners, financial institutions, and stakeholders worldwide.

Address

Alfardan Heights Building 376/1, Office#103,
Almaardh St Way, No 61, PO BOX: 305, PC: 130,
Ghala Industrial Area, Muscat, Sultanate of Oman.

info@streamenso.com