Licenses & Regulation

Our Regulatory Status

AmbFx is committed to operating with the highest standards of regulatory compliance and transparency. We are proud to be authorized and regulated by the European System of Financial Supervision (ESFS) in the European Union, one of the world's most respected financial regulators.

What ESFS Regulation Means for You

Being regulated by the ESFS provides our clients with important protections and assurances. As an ESFS-authorized firm, we are required to:

Client Money Protection

We are required to hold client funds in segregated accounts, separate from our own operating capital. This means that your money is protected and cannot be used for our business purposes. In the unlikely event of our insolvency, client funds would be ring-fenced and returned to clients.

Capital Adequacy Requirements

The ESFS requires us to maintain adequate financial resources at all times. We must hold sufficient capital reserves to ensure we can meet our obligations to clients and continue operating safely even during periods of market stress.

Best Execution

We are obligated to take all sufficient steps to obtain the best possible result for our clients when executing orders. This includes considering price, costs, speed, likelihood of execution, and other factors relevant to the execution of your trades.

Fair Treatment of Customers

The ESFS's Treating Customers Fairly (TCF) initiative ensures that we put our clients' interests at the heart of our business. We are committed to providing clear information, suitable products, and transparent pricing.

Complaints Handling

We have robust procedures in place for handling client complaints. If you are not satisfied with our services, you have the right to escalate your complaint to the Financial Ombudsman Service (FOS), an independent body that resolves disputes between financial firms and their customers.

Our Regulatory Obligations

As an ESFS-authorized firm, we adhere to a comprehensive set of regulatory requirements, including:

• Anti-Money Laundering (AML): We conduct thorough customer due diligence and monitor transactions to prevent money laundering and terrorist financing
• Know Your Customer (KYC): We verify the identity of all clients before providing services
• Data Protection: We comply with GDPR and protect your personal information
• Conduct of Business: We follow strict rules on how we conduct our business and communicate with clients
• Systems and Controls: We maintain robust systems to manage risks and ensure operational resilience
• Record Keeping: We maintain detailed records of all transactions and client communications

Regulatory Reporting

We regularly submit reports to the ESFS as required by our authorization. These reports cover various aspects of our business, including:

• Financial statements and capital adequacy
• Transaction reporting
• Complaints data
• Client money reconciliations

The ESFS has the power to inspect our operations, examine our records, and take enforcement action if necessary. This oversight helps ensure that we maintain the highest standards of conduct.