Compliance & Regulatory Information
RaiseSignal maintains the highest standards of regulatory compliance and security
FINRA Registration
RaiseSignal operates under FINRA regulations as a registered broker-dealer, ensuring compliance with securities laws and investor protection standards.
SOC 2 Type II
Independently audited and certified for security, availability, processing integrity, confidentiality, and privacy controls.
Regulatory Framework
RaiseSignal B.V. operates under comprehensive regulatory oversight to ensure investor protection and market integrity:
- Dutch Financial Markets Authority (AFM) - Licensed investment firm
- FINRA Member - Registered broker-dealer in the United States
- MiFID II Compliance - European investment services regulation
- GDPR Compliant - Data protection and privacy standards
- Anti-Money Laundering (AML) - KYC and transaction monitoring
Investor Protection
We implement multiple layers of investor protection including client segregation, professional indemnity insurance, and participation in investor compensation schemes as required by applicable regulations.
Compliance Monitoring
Our compliance program includes regular audits, transaction monitoring, employee training, and reporting to regulatory authorities as required.
Contact Compliance
For compliance-related inquiries or to report concerns:
Email: compliance@raisesignal.uk
Phone: +44 7537 126467