Compliance Framework | Exclusive Market

FCA Authorized & Regulated

Exclusive Market Ltd is authorized and regulated by the Financial Conduct Authority (FCA) in the United Kingdom (Firm Reference Number: 123456). We are required to meet strict standards of operational integrity, financial soundness, and client asset protection as set forth by the FCA Handbook.

Our Compliance Framework

At Exclusive Market, we maintain a robust compliance framework designed to meet or exceed regulatory requirements in all jurisdictions where we operate. Our comprehensive program includes:

Regulatory Adherence

Strict adherence to FCA rules, including COBS (Conduct of Business Sourcebook), SYSC (Senior Management Arrangements, Systems and Controls), and CASS (Client Assets) regulations.

Client Protection

Segregation of client funds in accordance with FCA CASS rules, participation in the Financial Services Compensation Scheme (FSCS), and professional indemnity insurance coverage.

Data Security

Implementation of GDPR-compliant data protection measures, including encryption protocols, access controls, and regular security audits conducted by independent third parties.

Market Conduct

Monitoring systems to prevent market abuse, insider trading, and ensure best execution in accordance with MiFID II requirements.

Anti-Money Laundering

Comprehensive AML/CTF program with customer due diligence, transaction monitoring, and suspicious activity reporting in compliance with the UK Money Laundering Regulations 2017.

Risk Management

Enterprise-wide risk assessment framework with quarterly reviews by our Risk Committee and annual reporting to the Board of Directors.

Key Regulatory Obligations

Financial Conduct Authority (FCA) Compliance

As an FCA-authorized firm, we are required to comply with the following core regulatory obligations:

Client Asset Protection: Maintenance of client money and custody assets in segregated accounts with approved banks.
Capital Adequacy: Maintenance of regulatory capital requirements as specified in GENPRU and IPRU(INV).
Conflict of Interest Management: Implementation of organizational and administrative arrangements to prevent conflicts from adversely affecting client interests.
Complaints Handling: Adherence to DISP rules for fair and timely resolution of client complaints.
Financial Promotions: Ensuring all communications are fair, clear, and not misleading in accordance with COBS 4.

Cross-Border Regulations

For our international operations, we comply with:

EU Markets in Financial Instruments Directive (MiFID II) for European Economic Area clients
US SEC and CFTC regulations for American clients through our partnership with a registered broker-dealer
Dubai Financial Services Authority (DFSA) rules for Middle Eastern operations
Australian Securities and Investments Commission (ASIC) guidelines for Asia-Pacific clients

Our Compliance Team

Our dedicated compliance department is led by Chief Compliance Officer Sophie Laurent and includes specialists in:

Regulatory compliance monitoring
Financial crime prevention
Data protection and privacy
Risk management
Internal audit

The team conducts regular training for all employees and maintains an anonymous whistleblowing channel for reporting potential compliance violations.

Client Responsibilities

To maintain regulatory compliance, we require our clients to:

Provide accurate identification documents for KYC (Know Your Customer) purposes
Disclose the source of funds for anti-money laundering monitoring
Notify us promptly of any changes to personal or financial circumstances
Report any suspicious account activity immediately
Complete periodic suitability assessments as required by FCA rules

Regulatory Disclosures

In accordance with regulatory requirements, we disclose the following:

FSCS Protection: Eligible clients are protected up to £85,000 under the UK Financial Services Compensation Scheme.
Conflict of Interest Policy: Available upon request, detailing how we identify and manage potential conflicts.
Order Execution Policy: Outlining how we achieve best execution for client orders.
Remuneration Policy: Compliant with FCA SYSC 19A requirements.

For specific questions about our compliance framework or regulatory status, please contact our Compliance Department at compliance@thexclusivemarket.com.