Regulatory Matters

The Financial Conduct Authority (“FCA”) is the conduct regulator for financial services firms and financial markets in the UK. The FCA’s strategic objective is to ensure that the relevant markets function well and its operational objectives are to: (a) protect consumers, (b) protect financial markets and enhance the integrity of the UK financial system, (c) promote effective competition in the interests of consumers. It works with consumer groups, trade associations and professional bodies, domestic regulators, EU legislators and a wide range of other stakeholders.

Trade Capital UK (TCUK) Ltd was incorporated in 2014 and is authorized and regulated by the FCA to act as an Investment Firm (FRN 738538).

As part of its ongoing commitment to upholding the highest regulatory compliance standards, Trade Capital UK (TCUK) Ltd has established and implemented the following regulatory policies and procedures:

Enhanced Protection of Client Money

  • Segregation and Safeguarding of Clients’ Funds: Trade Capital UK (TCUK) Ltd holds all client funds in segregated bank accounts. All client funds are subject to the Client Money Rules of the FCA. The Client Assets Sourcebook (CASS) which is part of the FCA Handbook, sets out the rules to holding client assets. These include organisational requirements, segregation methodology, records, reconciliation and acknowledgement of trust.
  • Investor Compensation Scheme: The Financial Services Compensation Scheme (“FSCS”) is the compensation fund of last resort for customers of authorised financial services firms. It is designed by the UK government to act as a ‘safety net’, and usually covers private investors (retail clients) and small businesses if they have been clients of a financial services firm which becomes insolvent.

Find out more about How your money is protected