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Crucial in the conduct of all financial operations regulation
There are strict laws, policies, guidelines and regulation in place with the intention of protecting clients and investors, and at Wagon Stocks Tita we take pride in incorporating our regulatory compliance into every aspect of our operations. Hence, each of our brands is licenced by an established regulatory body, giving strength to our services and confidence to our clients
The United Kingdom Financial Conducts Authority works within the Financial Services and Markets Act 2000, as the conduct regulator for 58,000 financial services firms and financial markets in the UK and the prudential regulator for over 18,000 of those firms.
The Prudential Regulation Authority is the prudential regulator of around 1,500 banks, building societies, credit unions, insurers and major investment firms. As a prudential regulator, it has a general objective to promote the safety and soundness of the firms it regulates.
Investors opting for the services based on the mandates offered under our UK FCA license, enjoy the full protection according to the legal provisions of the stringent FCA regulation.
The Cyprus Securities and Exchange Commission (CySEC) is the supervisory and regulatory authority for Investment Services firms in Cyprus and is a member of the Committee of the European Securities and Markets Authority (ESMA).
Our license is subject to the Cyprus Law L. 87(I)/2017 regarding the provision of investment services, the exercise of investment activities and the operation of regulated markets which is harmonised with the requirements of the amended European Parliament’s Markets in Financial Instruments Directive 2014/65/EU (MiFID II) to ensure a high level of protection for investors, and that the investment services we offer comply with applicable regulations.
South Africa FSCA
The Financial Sector Conduct Authority (FSCA) was created by the Financial Sector Regulation Act, 9 of 2017 (the FSR Act) and came into being on 1 April 2018. The establishment of the FSCA marked the start of a new, more holistic and intensive approach to regulating the conduct of financial institutions operating in South Africa.
The mandate of FSCA is to enhance the efficiency and integrity of financial markets, promote fair customer treatment by financial institutions, provide financial education and promote financial literacy and assist in maintaining financial stability.
The Financial Services Commission, Mauritius (the ‘FSC’) is the integrated regulator for the non-bank financial services sector and global business. In carrying out its mission, the FSC aims to promote the development, fairness, efficiency and transparency of financial institutions and capital markets in Mauritius, suppress crime and malpractices so as to provide protection to members of the public investing in non-banking financial products and ensure the soundness and stability of the financial system in Mauritius.
The National Securities Market Commission (CNMV) is the body responsible for the supervision and inspection of Spanish securities markets and the activity of all those involved in them. The CNMV was created by Securities Market Law 24/1988, which represented a thorough reform of this segment of the Spanish financial system.
The aim of the CNMV is to ensure the transparency of Spanish securities markets and the correct formation of prices, as well as the protection of investors.
The CNMV actively participates in international institutions, such as IOSCO (International Organization of Securities Commissions), ESMA (European Securities and Markets Authority) or FSB (Financial Stability Board).
ESMA’s mission is to enhance the protectioan of investors and reinforce stable and well-functioning financial markets in the European Union. As an independent institution ESMA achieves this mission by building a single rule book for EU financial markets and ensuring its consistent application and supervision across the EU.
ESMA contributes to the supervision of financial services firms with a pan-European reach, either through direct supervision or through the active co-ordination of national supervisory activity
MiFID is an EU legislation which harmonized regulation for investment services across the 30 member states of the European Economic Area (EEA). The main objectives of MiFID are to increase competition and consumer protection in the European investment services sector.
In accordance with MiFID, we have passported its authorization into almost all member states of the EEA and registered with the financial regulators of the states where it provides services to their residents.
MiFID II legislative framework, was introduced on the 3rd of January 2018, aiming to strengthen investor protection and improve the functioning of financial markets making them more efficient, resilient and transparent, through the introduction of new requirements on product governance and the improvement of requirements in several areas, including on the responsibility of management bodies, inducements, information and reporting to clients, cross-selling, remuneration of staff, and best execution.
Our policies are required by regulatory law, but they also give us an opportunity to establish a relationship between our brands and our clients that is underpinned by our company ethics. Our key policies are listed below. To see the full policy, please visit the brand of your choice.
Protecting the privacy and safeguarding our clients’ personal and financial information.
Establishing effective arrangements for the best possible results when we execute our clients’ orders.
Appropriate guidance on the nature and risks of financial instruments.
Client Categorisation Policy
Provides the client categories under the Markets in Financial Instruments Directive (MiFID).
Establishing the processes followed when dealing with complaints received by clients.
Conflict of interest Policy
Compliance with all regulatory requirements to identify and manage any conflicts of interest that may arise between us and any of our clients or between our clients.