CLIENTS

The regulated status and permissions held by the FX and CFD firms, reflect the circumstances and scope of activities carried on by way of business. The precise type of firm and the extent of specific regulatory obligations, such as capital and prudential standards and rule provisions, will equally be a matter of the scale and nature of regulated business and the specified investment involved.

Our services are designed to support the full range of UK regulated FX and CFD firms;

IFPRU €730k firms (full-scope firm)

Typically authorized to hold and control client money but also undertaking proprietary (own funds) trading and acting as principal in dealing in investments and managing risks and exposures against client positions 

IFPRU €125k firms

Typically authorized to hold and control client money but with a limited license to only undertake investment dealing on a matched-principal basis whereby the firm is not exposed to market risk through simultaneous buyer/seller transaction execution

IFPRU €50k firms

Typically, not authorized to hold client money and more limited activity to simply engage in arranging (bringing about) deals in investments

BIPRU firms

Typically classified as investment firms falling under the scope of the regulator’s specific prudential sourcebook (see BIPRU 1.1.6R) applying to such firms and also banks/building societies

Appointed Representative (AR) firms

Acting as an agent in conducting regulated business on behalf of directly regulated/authorized principals who take responsibility and accountability for the AR and delivery of all related regulatory requirements

Whether a small firm requiring comparatively little regulatory capital due to its restricted regulated activity e.g. inability to hold/control client money, or the largest firm with the fullest scope of permissions undertaking proprietary trading and managing its risks against client positions, FX&CFD.com is able to provide services which can successfully meet individual requirements.