While UltraCap Trading doesn’t operate under a financial services license—since we’re a trading recruitment service and not a provider of financial, investment, or banking products—we adhere rigorously to regulatory standards. We operate in strict compliance with the Australian Securities and Investments Commission (ASIC) and under Australian Consumer Law.
Our Live Portfolio Managers (LPMs):
Our LPMs are contracted professionals who manage live-funded accounts on our behalf. They are not consumers who are buying and selling assets or investments. These allocations are administered through bridge and hub technology that complies with ISO27001, an internationally recognized standard for information security management systems.
Our Technology Partnerships:
We exclusively collaborate with regulated brokers, liquidity and margin providers.
Indirect Regulation:
By aligning ourselves with regulated entities and adhering to international security standards, we offer a form of indirect regulation. This ensures that our services to funding partners are both safe and secure, while also providing transparent and stable liquidity to our contracted LPMs.
Our Compliance Credentials:
- ISO27001 Certification for Information Security via our margin account: Ensures that we adhere to international standards for information security management.
- Australian Consumer Law (ACL): Provides consumer guarantees and protections, ensuring that we operate in a manner that is fair to consumers.
- Consumer Protection and Fair-Trading Laws: Governed by the Australian Competition and Consumer Commission, these laws ensure that we operate transparently and fairly.
- LEI Certification: The Legal Entity Identifier (LEI) is a global identifier that provides transparency in financial transactions, ensuring that we are easily identifiable in the global marketplace.
- Australian Company Director Obligations: We adhere to the responsibilities and obligations outlined in the Corporations Act 2001, ensuring ethical and lawful management of the company.
- ASIC Registration/Compliance: While we are not a financial service provider and therefore do not hold an Australian Financial Services License (AFSL), we are still governed by the Australian Securities and Investments Commission (ASIC). This ensures that we operate in compliance with corporate laws, adhere to ethical business practices, and maintain transparency in our operations.
By maintaining these compliance credentials, we aim to provide a secure, transparent, and trustworthy environment for all our traders and funding partners.
