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Mostrando 35 artículos en #compliance

#compliance

Broker Segregated Accounts and SIPC Protection Explained

Learn how broker segregated accounts under SEC Rule 15c3-3 and CFTC Reg 1.20 work, plus SIPC's $500,000 limit and what it does and does not cover.

#regulation#compliance

AML and KYC Practices: What Traders Encounter at Every Broker

Understand anti-money-laundering and KYC requirements: CDD, EDD, $10,000 reporting thresholds, SAR filings, and source-of-funds documentation.

#regulation#compliance

US Trading Taxes: Capital Gains, Section 1256, Mark-to-Market

Two US traders with identical profit can pay very different tax depending on what they traded and whether they elected mark-to-market accounting.

#taxes#compliance

UK Trading Taxes: CGT and Spread Betting

Two UK residents can make identical £20,000 trading profit yet pay very different tax depending on whether they use CGT-exposed instruments or tax-free spread betting.

#taxes#compliance

Trading Taxes: Why Every Trader Must Understand Tax

Taxes can erase a quarter of your trading profit, so understanding the rules before you trade is the difference between a real return and a paper one.

#taxes#compliance

Trade Records and Tax Calculation Tools

If you cannot prove your cost basis, tax authorities assume the entire proceeds are profit, so keeping contemporaneous trade records is the only defense at audit.

#taxes#compliance

SEC and CFTC: Impact on Traders

In the US the asset class you trade decides which federal regulator protects you, with stocks governed by the SEC and futures, forex, and swaps by the CFTC.

#regulation#compliance

How to Verify a Broker's License Number

A license number on a website is just text, so the only proof a broker is regulated is what appears on the regulator's own public register — and verifying it takes under five minutes.

#regulation#compliance

Offshore Broker Risks: BVI, FSC, Seychelles

Offshore licenses are real documents issued by real regulators, but they are also the lightest regulatory touch in global finance and the most common setting for retail forex disasters.

#regulation#compliance

NFA and Registered Brokers

In the US derivatives market the National Futures Association is the gatekeeper, and if your futures or forex broker is not an NFA member you have no protection worth the name.

#regulation#compliance

Hong Kong and Singapore Trading Tax Points

Hong Kong and Singapore levy no capital gains tax on individuals, but profits tax and income tax still apply when trading rises to the level of a business.

#taxes#compliance

Global Financial Regulation Overview

A regulated broker is not automatically a safe broker, because regulation is a spectrum and the regulator on the certificate matters far more than the word itself.

#regulation#compliance