In the realm of financial services, EXANTE Broker sets a gold standard for compliance. The team’s dedication to regulatory adherence ensures the provision of exceptional services to clients. Their commitment encompasses a broad spectrum of practices that establish EXANTE as a paragon in the industry.
License
EXT LTD holds a prestigious license from the Cyprus Securities and Exchange Commission (CySEC), a cornerstone of financial regulation in Cyprus since 2001. CySEC’s enforcement of European Union regulations solidifies its pivotal role in ensuring market integrity and protecting investor interests. EXANTE’s operations, under the vigilant eye of CySEC, have successfully passed all regulatory checks since their inception in 2011.
Audits
EXANTE undergoes annual audits by leading international accounting firms and faces rigorous compliance audits by local regulators. These audits are instrumental in maintaining financial transparency and cultivating trust among investors and stakeholders.
Clients from the US and compliance with SEC Regulation
The US Securities and Exchange Commission (SEC) oversees the securities industry in the United States, ensuring market fairness since 1934. While EXANTE is currently outside the SEC’s regulatory purview, as it does not cater to US-based clients, it remains vigilant and ready to adapt to future regulatory landscapes. Read more about EXANTE & SEC.
Additional Interactions with Regulators
EXANTE engages proactively with regulatory authorities through various initiatives:
- Workshops and Seminars: Participation in these events keeps the team informed about the latest compliance practices.
- Regular Consultations: These discussions with regulators help EXANTE share insights on industry challenges.
- Whistleblower Programs: EXANTE upholds a robust system for reporting misconduct, reflecting its ethical standards.
- Advisory Panels: By advocating for industry expert panels, EXANTE contributes to balanced regulatory reforms.
Stance on Proprietary Trading
EXANTE maintains a clear stance against proprietary trading, ensuring an unbiased platform for third-party traders. This principle of non-interference aligns with the company’s overarching ethos of transparency and regulatory compliance.
