CySec

Cyprus Securities and Exchange Commission

Windsor Brokers Ltd.

is regulated by CySEC. CySEC was established in accordance with section 5 of the Cyprus Securities and Exchange Commission Law of 2001 as a public corporate body. Since 2004, when Cyprus became a member of the European Union, and has therefore implemented the Markets in Financial Instruments Directive 2004/39/EC (“MiFID”), giving firms registered in Cyprus access to all European markets.
CySec has a numerous responsibilities, including supervision and control of the operation of the Cyprus Stock Exchange, Investment Services Companies, Collective Investment funds, investment consultants and mutual fund management companies; granting operating licenses to investment firms, including investment consultants, brokerage firms and brokers and imposing administrative sanctions and disciplinary penalties;

FCA

Financial Conduct Authority

Windsor Brokers Ltd.

is EEA authorised. Investment firms authorized/regulated in their home country, within the European Economic Area (EEA), can offer certain products and/or services in other EEA countries through pass-porting the activities.

ACPR

Autorité Des Marchés Financiers

Windsor Brokers Ltd.

is EEA authorised. The ACPR monitors the activities of the banks with the support of the French Central bank, for the purpose of maintaining orderly financial markets and safeguarding investments in financial instruments.

BaFin

Bundesanstalt Für Finanzdienstleistungsaufsicht

Windsor Brokers Ltd.

is EEA authorised. BaFin is the German financial regulatory, under the supervision of the Federal Ministry of Finance.

MiFID

Markets in Financial Instruments Directive

Windsor Brokers Ltd.

fully complies with the MiFID. MiFID is a European Union Directive providing a harmonized regulatory regime for investment services across the EEA (European Economic Area). The main objectives of the directive are to create single market in financial services across the EU, whereby the investors will have the maximum protection.

ICF

Investors Compensation Fund

Windsor Brokers Ltd.

is a member of the ICF. The objective of the Investors Compensation Fund is to provide “Covered clients” with information regarding the compensation coverage in cases where the Company fails to fulfill its obligations towards clients.

Windsor Brokers Ltd.

Disclosure and Market Discipline Report: The Disclosure and Market Discipline Report contains information on the capital adequacy of the Company and its risk management activity, in compliance with Directive (DI144-2007-05).

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