Regulatory Compliance

Compliance & Regulatory Information

OptiBid Energy maintains the highest standards of compliance with energy market regulations, financial services laws, and international industry standards to ensure reliable and trustworthy operations.

Last updated: December 2, 2025

Our Compliance Commitment

Regulatory Framework:

  • • Energy market regulations
  • • Financial services compliance
  • • Data protection laws
  • • Environmental regulations

Industry Standards:

  • • ISO 27001 (Information Security)
  • • SOC 2 Type II (Security)
  • • Energy market standards
  • • Financial reporting standards

Audit & Verification:

  • • Regular third-party audits
  • • Internal compliance monitoring
  • • Regulatory reporting
  • • Continuous improvement

Energy Market Regulations

Market Operator Compliance

We maintain compliance with all major energy market operators and trading platforms where our clients operate.

Supported Markets:

  • • PJM Interconnection (USA)
  • • ERCOT (Texas)
  • • ISO-NE (New England)
  • • CAISO (California)
  • • EPEX SPOT (Europe)
  • • Nord Pool (Nordic)
  • • NEM (Australia)

Compliance Areas:

  • • Market participation rules
  • • Grid operation procedures
  • • Renewable energy certificates
  • • Environmental reporting
  • • Emergency operations

FERC & Regional Compliance

Our platform supports compliance with Federal Energy Regulatory Commission (FERC) rules and regional transmission organization (RTO) requirements.

FERC Order 764 Compliance

Integrated time-based market participation and coordinated transaction scheduling to align with renewable energy patterns.

Market Surveillance

Advanced monitoring and reporting systems to detect and prevent market manipulation and ensure fair trading practices.

European Market Regulations

Full compliance with European energy market regulations and renewable energy directive requirements.

EU Regulations:

  • • Clean Energy Package (CEP)
  • • Market Coupling Regulation
  • • Balancing Market Framework
  • • Renewable Energy Directive (RED)

Certification Support:

  • • GO certificates (Guarantees of Origin)
  • • I-REC certification
  • • Corporate renewable tracking
  • • Carbon disclosure reporting

Financial Services Compliance

Securities & Derivatives Regulation

When energy derivatives are traded through our platform, we ensure compliance with applicable securities and derivatives regulations.

Regulatory Bodies:

  • • CFTC (Commodity Futures Trading Commission)
  • • SEC (Securities and Exchange Commission)
  • • ESMA (European Securities and Markets Authority)
  • • FCA (Financial Conduct Authority - UK)

Compliance Measures:

  • • Position limits and reporting
  • • Large trader reporting
  • • Market surveillance and monitoring
  • • Risk management requirements

Anti-Money Laundering (AML)

Comprehensive AML and Counter-Terrorism Financing (CTF) program to prevent illicit financial activities.

Know Your Customer (KYC)

Rigorous identity verification and beneficial ownership identification for all platform users.

Transaction Monitoring

Advanced algorithms monitor trading patterns for suspicious activities and unusual transactions.

Reporting & Compliance

Automatic reporting to relevant authorities when required, maintaining detailed audit trails.

Data Protection & Privacy

GDPR Compliance

  • • Data minimization and purpose limitation
  • • Legal basis for all processing activities
  • • Data subject rights implementation
  • • Privacy by design principles
  • • Data Protection Impact Assessments (DPIA)
  • • International data transfer mechanisms

CCPA/CPRA Compliance

  • • California Consumer Privacy Act compliance
  • • Consumer rights implementation
  • • "Do Not Sell" information provision
  • • Data sharing transparency
  • • Annual privacy policy updates
  • • Consumer request verification processes

Industry Standards & Certifications

ISO Certifications

ISO 27001:2013

Information Security Management System (ISMS) certification for comprehensive security controls.

✓ Certified since 2023 | Next audit: June 2025

ISO 27017:2015

Cloud security controls specific to cloud service providers and users.

✓ Certified since 2024 | Next audit: September 2025

SOC 2 Type II

Service Organization Control 2 (SOC 2) audit report demonstrating security, availability, and confidentiality controls.

Security

System protection against unauthorized access

Availability

System operation and accessibility commitments

Confidentiality

Protection of confidential information

Energy Industry Standards

NERC Standards

  • • CIP (Critical Infrastructure Protection)
  • • BAL (Balancing and Frequency Control)
  • • TOP (Transmission Operations)
  • • PRC (Protection and Control)

IEC Standards

  • • IEC 61850 (Substation automation)
  • • IEC 62351 (Cyber security)
  • • IEC 61970 (Energy management)
  • • IEC 60870 (Control center communications)

Audit & Verification Program

Internal Audits

  • • Quarterly compliance reviews
  • • Monthly security assessments
  • • Weekly regulatory updates
  • • Continuous monitoring systems

External Audits

  • • Annual SOC 2 Type II audits
  • • ISO 27001 annual surveillance
  • • Third-party penetration testing
  • • Regulatory inspections

Compliance Monitoring

Our compliance team continuously monitors regulatory changes and updates our policies and procedures to maintain ongoing compliance with all applicable laws and regulations.

Compliance Questions & Certifications

For compliance-related inquiries, certification requests, or regulatory information, please contact our compliance team.