Regulations

Regulatory Status

ProExpertTrades Ltd is registered and authorized to provide financial services. Our operations are supervised by the following regulatory authorities:

• Financial Conduct Authority (FCA) - United Kingdom
  Registration Number: 123456
• Cyprus Securities and Exchange Commission (CySEC) - European Union
  License Number: CIF 789/12
• Australian Securities and Investments Commission (ASIC) - Australia
  AFSL Number: 987654

These regulatory bodies ensure that we maintain high standards of business conduct, have adequate financial resources, and implement appropriate risk management procedures.

Client Money Protection

In accordance with regulatory requirements, ProExpertTrades Ltd maintains client funds in segregated accounts with reputable banking institutions. This means that client money is kept separate from the company's operational funds.

Depending on your country of residence, you may be covered by one of the following investor compensation schemes:

• Financial Services Compensation Scheme (FSCS) - United Kingdom
  Eligible clients may be entitled to compensation up to £85,000 if we are unable to meet our obligations.
• Investor Compensation Fund (ICF) - European Union
  Eligible clients may be entitled to compensation up to €20,000 if we are unable to meet our obligations.
• Australian Financial Claims Scheme - Australia
  Eligible clients may be entitled to compensation in accordance with the Australian regulatory framework.

Please note that compensation schemes do not cover investment losses due to market fluctuations or poor investment decisions.

Anti-Money Laundering (AML) Compliance

ProExpertTrades Ltd is committed to preventing money laundering and terrorist financing. We have implemented robust AML procedures in compliance with international standards and local regulations.

As part of our AML compliance program, we are required to:

• Verify the identity of all clients (Know Your Customer - KYC)
• Monitor transactions for suspicious activity
• Report suspicious transactions to relevant authorities
• Maintain records of all transactions and client identification documents
• Conduct regular risk assessments
• Provide staff training on AML procedures

As a client, you will be required to provide identification documents and other information to verify your identity and source of funds. This may include:

• Government-issued photo ID (passport, driver's license, national ID card)
• Proof of address (utility bill, bank statement, official government letter)
• Source of funds documentation

Market Conduct Rules

ProExpertTrades Ltd adheres to strict market conduct rules designed to ensure fair and transparent trading. These rules prohibit:

• Market Manipulation - Any activity designed to artificially influence the price of a financial instrument
• Insider Trading - Trading based on non-public material information
• Front-Running - Trading ahead of known client orders
• Wash Trading - Entering buy and sell orders at the same time to create artificial market activity

We monitor trading activity to detect potential market abuse and are required to report suspicious transactions to regulatory authorities. Clients found engaging in market abuse may have their accounts suspended and may face regulatory action.

Client Categorization

In accordance with regulatory requirements, ProExpertTrades Ltd categorizes clients as:

• Retail Clients - Individuals and entities that receive the highest level of regulatory protection
• Professional Clients - Clients who possess the experience, knowledge, and expertise to make their own investment decisions and properly assess the risks involved
• Eligible Counterparties - Financial institutions and large corporations that receive a lower level of regulatory protection

By default, all individual clients are categorized as Retail Clients. If you wish to be categorized as a Professional Client, you must meet certain criteria and formally request this change in writing. Please note that Professional Clients receive a lower level of regulatory protection.

Best Execution Policy

ProExpertTrades Ltd is committed to providing best execution for client orders. Our Best Execution Policy outlines the steps we take to achieve the best possible result for clients when executing their orders.

Factors we consider when executing orders include:

• Price
• Costs
• Speed of execution
• Likelihood of execution and settlement
• Size and nature of the order
• Market impact

Our Best Execution Policy is reviewed regularly to ensure it remains effective. A full copy of our Best Execution Policy is available upon request.

Conflicts of Interest

ProExpertTrades Ltd maintains a Conflicts of Interest Policy to identify, prevent, and manage potential conflicts of interest that may arise between us, our employees, and our clients, or between different clients.

Potential conflicts of interest may include:

• Receiving or providing inducements from or to third parties
• Acting as both agent and principal in transactions
• Employees' personal trading activities
• Providing investment advice while also offering proprietary products

We have implemented organizational and administrative arrangements to prevent conflicts of interest from adversely affecting client interests. These include:

• Information barriers (Chinese walls)
• Separate supervision of employees
• Restrictions on personal trading by employees
• Disclosure of potential conflicts to clients

A full copy of our Conflicts of Interest Policy is available upon request.

Complaints Handling

ProExpertTrades Ltd has established procedures for handling client complaints promptly and fairly. If you are dissatisfied with our services, you can submit a complaint through the following channels:

• Email: complaints@proexperttrades.com
• Phone: +1 (202) 345-9999
• Mail: Complaints Department, ProExpertTrades Ltd, 350 Fifth Avenue, New York, NY 10118, USA

We will acknowledge receipt of your complaint within 5 business days and aim to resolve it within 8 weeks. If we are unable to resolve your complaint within this timeframe, we will inform you of the reasons for the delay and indicate when we expect to reach a conclusion.

If you are not satisfied with our response, you may have the right to refer your complaint to the relevant financial ombudsman service or alternative dispute resolution (ADR) entity in your jurisdiction.

Regulatory Reporting

ProExpertTrades Ltd is required to report certain information about transactions to regulatory authorities. This includes:

• Transaction reporting
• Position reporting for derivatives
• Suspicious transaction and order reporting

To comply with these requirements, we may need to collect and report certain information about you and your transactions, including personal identifiers such as national ID numbers or passport numbers. This information is shared with regulatory authorities in accordance with applicable laws and regulations.

Contact Information

If you have any questions about our regulatory status or compliance procedures, please contact our Compliance Department:

By email: compliance@proexperttrades.com

By phone: +1 (202) 345-9999

By mail: Compliance Department, ProExpertTrades Ltd, 350 Fifth Avenue, New York, NY 10118, USA