Compliance is how we work, not a box we tick.
A broker is only as trustworthy as the rules it follows when nobody is watching. This page explains ours.
Governance, built in.
Client money comes first
Client funds are kept in segregated accounts and are never used for company expenses or trading.
Full audit trail
Every verification, order, deposit and withdrawal is recorded, time-stamped and traceable.
Secure onboarding
Identity checks, layered authentication and ongoing monitoring protect clients from fraud and unauthorised access.
Fair dealing
We manage conflicts of interest openly and apply our execution policy consistently to every client.
What the framework covers.
Know your customer and anti-money-laundering
We verify the identity of every client before live trading and monitor activity for unusual patterns. Details are in our AML policy.
Client money
Client funds are held separately from Uprime Capital LTD’s own money with tier-1 banks. We reconcile client balances regularly. See Regulation for the protections that apply.
Conflicts of interest
We identify, record and manage situations where our interests could conflict with yours, and we tell clients where a conflict cannot be avoided.
Data protection
We handle personal data lawfully, store it securely and share it only where necessary. Read the privacy policy and GDPR statement.
Audit and oversight
Our accounts are audited by . Compliance reports directly to senior management.
Complaints
If something goes wrong, tell us. Our complaints procedure sets out how we investigate and respond.
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