Security & Regulation
Regulatory Pillars
US Primary Oversight
Explicitly state regulation by the Securities and Exchange Commission (SEC) and membership with the Financial Industry Regulatory Authority (FINRA).
Investor Protection
Detail on SIPC (Securities Investor Protection Corporation) membership and the scope of its coverage for client securities and cash balances.
Asset Safety Protocols
Segregation of Client Funds
Clear explanation that client assets are held in segregated custodial accounts, separate from the firm’s operating capital.
Cybersecurity Measures
Detail on system security, including network encryption, penetration testing, and multi-factor authentication (MFA).