Regulation and Safety of Funds

Investor Compensation Scheme

The Investor Compensation Scheme administed by the Malta Financial Services Authority (MFSA), the Maltese regulator, provides limited protection for certain classes of investors. Triton Capital Markets Limited Contributes to this scheme annually and in the event it becomes insolvent, its customer are afforded protection. Triton Capital Markets Limited’s customers will be eligible for compensation of 90% of their investment up to a maximum limit of €20,000. Professional Clients or Eligibale counter parties are not eligible for compensation as they fall out of the scope of the Investor Compensation Scheme which was set up as a protection for retail customers.

Negative Balance Protection

Triton Capital Markets Ltd., provides clients with the benefit of Negative Balance Protection at its own cost which means that any client trading losses cannot exceed the available funds in the client accounts and client account balances will never become negative.

CONSOB | Italy

The supervisory authority for the Italian financial products market; its aims are to protect investors and the efficiency, transparency and development of the market.

CNMV | Spain

The Comisión Nacional del Mercado de Valores (CNMV) is the agency in charge of supervising and inspecting the Spanish Stock Markets and the activities of all the participants in those markets. It was created by the Securities Market Law, which instituted in-depth reforms of this segment of the Spanish financial system.

KNF | Poland

The Komisja Nadzoru Finansowego exercises supervision of the financial market, including banking supervision, supervision of the capital market, supervision of the insurance market, supervision of the pension market, supplementary supervision of financial conglomerates, supervision of electronic money institutions, payment institutions and payment service bureaus, as well as supervision of cooperative savings and credit unions.