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Regulation

ADS Securities London Limited is authorised and regulated in the UK by the Financial Conduct Authority (FRN 577453) and is a wholly owned subsidiary of Abu Dhabi based ADS Holding LLC. It is registered as a company in England and Wales (07785265) and is committed to the following compliance processes:

Segregated client funds

Most importantly, all retail client funds are held at Tier 1 banks in “segregated” accounts. This means retail client money is held separately from money belonging to ADS Securities London and will never be co-mingled with the company’s funds. Therefore, in the unlikely event of ADS Securities London suffering financial difficulties, your money will be held securely and returned to you.

Financial Services Compensation Scheme

All retail clients may be eligible to make a claim from the Financial Services Compensations Scheme (FSCS) should we be unable to satisfy any liabilities. The FSCS is a compensation scheme available to clients of regulated firms and you can visit their website for further details: FSCS

Complaints and the Financial Ombudsman Scheme (FOS)

As a FCA regulated firm we are required to have a process to allow eligible complainants to lodge a complaint with us. We will investigate any complaint thoroughly and will provide a full response and explanation to any complaint we receive. All our staff receive training on how to handle complaints and you can be sure any problem you raise will be taken seriously.
Most complaints are resolved at an early stage, but if we are unable to satisfy your concerns you are able to refer your case to the FOS which is an independent body set up to investigate complaints against regulated firms. They will look into your complaint and provide you with a response. You should only approach the FOS if we have already provided you with a Final Response. Please visit their website for further details: FOS

Pillar 3 Disclosure

The Capital Requirements Directive (CDR) of the European Union created a revised regulatory capital framework across Europe governing how much capital financial services firms must retain. In the United Kingdom, this is implemented by the FCA who has created new rules and guidance specifically through the creation of the General Prudential Sourcebook (“GENPRU”) and the Prudential Sourcebook for Investment Firms (“IFPRU”).

The three ‘Pillars’ which constitute the CRD are:
Pillar 1 – sets out the minimum capital requirements that firms are required to meet for credit, market and operational risk;
Pillar 2 – requires firms to take a view on whether additional capital should be held against any risks not covered by Pillar 1; and
Pillar 3– requires firms to publish certain details of its risks, capital and risk management process.

Please click HERE for our Pillar 3 disclosure.

In the unlikely event you do have a complaint, please contact us at [email protected] and we will commence an investigation. For more information about the complaints procedure, please click here.

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