LICENSES AND REGULATION

FINANCIAL CONDUCT AUTHORITY (FCA)

ADS Securities’ parent company is a major shareholder of ADS Securities London Limited, a company authorised and regulated by the Financial Conduct Authority (FCA) in the UK, license number 577453.

ADS Securities London Ltd provides FX trading services across the euro zone under the FCA’s passporting programme.

Pillar 3 disclosure

The Capital Requirements Directive (CDR) of the European Union created a revised regulatory capital framework across Europe governing how much capital financial services firms must retain. In the United Kingdom, this is implemented by the FCA who has created new rules and guidance specifically though the creation of the General Prudential Sourcebook (“GENPRU”) and the Prudential Sourcebook for Investment Firms (“IFPRU”)

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SECURITIES AND COMMODITIES AUTHORITY (SCA)

ADS Securities LLC (“ADSS”) is a limited liability company incorporated under United Arab Emirates law. The company is registered with the Department of Economic Development of Abu Dhabi (No. 1190047) and has its principal place of business at 8th Floor, CI Tower, Corniche Road, P.O. Box 93894, Abu Dhabi, United Arab Emirates. ADSS is authorised and regulated by the Securities And Commodities Authority (SCA).