Regulation

HONG KONG SECURITIES & FUTURES COMMISSION (SFC)

Central Entity Number: AXC847

ADS Securities Hong Kong Limited is regulated by the Hong Kong Securities and Futures Commission (CE No AXC847), and holds type 1, 2, 3, 4 and 6 licenses allowing it to conduct regulated activities in Securities, Futures Contracts, Leveraged FX and Advising on Corporate Finance.

The SFC works to ensure orderly securities and futures market operations, protect investors, and help strengthen Hong Kong’s position as both an international financial centre and a key financial market in China.

CENTRAL BANK OF THE UAE

Regulation Resolution Numbers: 164/8/1994 and 126/5/1995

ADS Securities LLC. is licensed by the Central Bank of the United Arab Emirates under Central Bank Resolution Numbers 164/8/1994 and Resolution Number 126/5/1995. The company is licensed to provide investment services including acting as a financial and monetary intermediary in the conduct of financial and monetary brokerage business for the sale and purchase of currencies and intermediating in money market transactions, providing investment management services including asset management services and discretionary portfolio management services.  It is one of a small number of investment and brokerage firms to be licensed and regulated by the Central Bank.

FINANCIAL CONDUCT AUTHORITY (FCA)

License Number: 577453

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.