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LICENCES & REGULATIONS

IronFX demonstrates its commitment to the highest business standards and ethics by complying with national and international regulatory authorities. Trading with a regulated investment firm, our clients are confident the firm will process their daily transactions with full security, transparency and integrity. The firm is authorized, regulated, registered and is a member of the below competent authorities/regulators as well as professional and governmental bodies.

LICENCES

Financial Conduct Authority (FCA)

Notesco UK Limited is authorized and regulated by the Financial Conduct Authority (FCA) under Registration No 585561.

The Financial Conduct Authority (FCA) regulates the financial services in the United Kingdom and promotes the financial industry’s stability as well as the security of customers.Through their known fair approach, their investigative and enforcement powers, the FCA puts consumer interests at the heart of their priorities by doing the maximum to minimise financial foul play. Governed by a board appointed by the Treasury, the FCA’s legislation establishes the Financial Services and Markets Tribunal which is run by the Department of Constitutional Affairs which reviews and takes regulatory decisions under consideration in case an agreement with a firm or an individual cannot be reached.

Country:

COUNTRY:

UNITED KINGDOM

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MiFID – Markets in Financial Instruments Directive

MiFID is the Markets in Financial Instruments Directive (Directive 2004/39/EC). This Directive governs the provision of investment services and activities within the European Economic Area. The Directive has been transposed into Cyprus law by the Investment Services and Activities and Regulated Markets Law of 2007 (Law 144 (I)/2007).

EUROPEAN UNION

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EEA REGISTRATIONS

AFM – Authority for the Financial Markets

The AFM is the Authority for the Financial Markets in the Netherlands, which has started assuming responsibility for supervising the operations of the financial markets since the 1st of March 2002. The AFM is charged with taking care of the surveillance of the financial market sector as a whole, including savings, investment, insurance and loans, therefore ensuring the proficient operation of these markets. Through its mission, the AFM aims to ensure the fair and orderly state of those markets following the guidelines in the Ministry of Finance’s policy document “Review of the supervision of the financial market sector” (‘Herziening van het toezicht op de financiële marktsector’).

COUNTRY:

NETHERLANDS

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AMF – Autorité des marchés financiers

The Autorité des marchés financiers (AMF) is the market regulator in France. The AMF is an independent public body responsible for safeguarding investments in financial instruments and maintaining orderly financial markets. The AMF is charged with fixing the general regulations applicable to investment firms and credit institutions within the framework of the guidelines set by the Government. The regulations set for investment firms includes capital adequacy obligations, accounting and management standards as well as internal control procedures.

COUNTRY:

FRANCE

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CNMV – Comisión Nacional del Mercado de Valores

The CNMV (Spanish national financial market commission) is an independent agency held under the Ministry of Economy and Finance of Spain, responsible for surveying and regulating the Spanish financial securities markets and of the activity of all of its actors. It was created in 1988 and its role consists in overseeing the transparency of the financial markets and of protecting investors. The CNMV also controls the information given by investment services firms.

COUNTRY:

SPAIN

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CNB – Czech National Bank

The CNB is the central bank of the Czech Republic and the supervisor of the Czech financial market. An entity governed by public law and is established under the Constitution of the Czech Republic, it is vested with the powers of an administrative authority to the extent stipulated by law. The CNB’s primary objective is to achieve and maintain price stability by creating a low-inflation environment in the economy, and Central bank independence is a prerequisite for effective monetary instruments conducive to price stability. The CNB also performs supervision of the banking sector, the capital market, the insurance industry, pension funds, credit unions and electronic money institutions, as well as foreign exchange supervision.

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CZECH REPUBLIC

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CMVM – Comissão do Mercado de Valores Mobiliários

The Portuguese Securities Market Commission is an independent public institution founded in 1991. The CMVM has administrative and financial autonomy and is responsible for supervising and regulating securities and other financial instruments markets, as well as the activity of all those who operate within those markets. The Portuguese Securities Market Commission is charged with detecting improper doings and criminal offences, monitoring compliance rules, as well as imposing punishments and fines on anybody carrying out infringing activities.

Country:

COUNTRY:

PORTUGAL

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FI – Finansinspektionen

Finansinspektionen, a central administrative authority from Sweden with a board appointed by the government, is responsible with supervising and analysing trends in the financial market. They evaluate the financial health of individual companies as well as various sectors and the financial market as a whole, whilst examining the risks and control systems in financial companies.

Country:

COUNTRY:

SWEDEN

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KNF – Financial Supervision Authority

The Polish Financial Supervision Authority monitors the country’s financial services industry including credit institutions, insurance firms, investment companies, exchanges, pension schemes as well as payment institutions and credit unions. The KNF ensures regular market operation, stability, security and transparency, confidence and also ensures that the interests of market actors are protected.

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COUNTRY:

POLAND

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CONSOB – Commissione Nazionale per le Società e la Borsa

The Italian Securities and Exchange Commission carries out several functions, namely regulating the investment services and operations of intermediaries, the reporting obligations of companies listed on regulated markets and the solicitation of investment from the public. It also authorises the operations of regulated markets and the centralised management of financial instruments, monitors the transparency and orderly conduct of trading and the fairness of the conduct of intermediaries and financial representatives.

Country:

COUNTRY:

ITALY

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HFSA – Hungarian Financial Supervisory Authority

The Hungarian Financial Supervisory Authority oversees the activities and principles of fair conduct by financial organisations. The HFSA also ensures effective and prudent operation of the financial system, and performs the tasks of independent supervisory control.

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COUNTRY:

HUNGARY

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BaFin – Federal Financial Supervisory Authority

BaFin is the federal institution which regulates financial markets in Germany. The regulatory body is based in Bonn and Frankfurt and was created in 2002 via the Financial Services and Integration Act, currently under the supervision of the German Federal Ministry of Finance. BaFin currently supervises around 700 financial institutions, about 1850 banks and several hundred insurance undertakings

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GERMANY

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MEMBERSHIPS

Member of the Financial Ombudsman Service (FOS UK)

The United Kingdom’s Financial Ombudsman Service is an ombudsman established in 2001 as a result of the Financial Services and Markets Act 2000 to help settle disputes between consumers and UK-based businesses providing financial services. The firm is a member of Financial Ombudsman Scheme (FOS) and our clients may be eligible to have a payment in case of the inability/failure of the member to fulfil its financial obligations.

Country:

COUNTRY:

UNITED KINGDOM

Member of the Financial Services Compensation Scheme (FSCS)

The Financial Services Compensation Scheme (FSCS) is the compensation fund of last resort for customers of authorised financial services firms. The firm is a member of the Financial Services Compensation Scheme (FSCS) and our clients may be eligible to have a payment in case of the inability/failure of the member to fulfil its financial, obligations.

COUNTRY:

UNITED KINGDOM

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LICENCES & REGULATIONS

LICENCES

Financial Conduct Authority (FCA)

EEA REGISTRATIONS

MEMBERSHIPS

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