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ICF
Investor Compensation Fund Policy
Risk Acknowledgement and Disclosure Policy
Document Control
- Document Owner: ActivBrokers
- Approval Date: 01/01/2022
- Revisions/Changes: Initial version
Contents
- Introduction
- Covered Clients
- Uncovered Clients
- Covered Services
- Compensation of Covered Clients and Payment Procedures
- Conditions for Compensation
- Initiation of Compensation Payment
- Procedures
- Application for Compensation
- Evaluation and Approval of Claims
- Payment and Additional Procedures
- Additional Information
1. Introduction
ActivBrokers is a member of the Investor Compensation Fund (ICF), established to provide compensation to clients of regulated investment firms when such firms are unable to meet their obligations. This policy outlines ActivBrokers’ approach to handling investor compensation in the event of default or financial failure.
The ICF is committed to compensating eligible clients for their claims, up to a maximum amount of EUR 50,000 or 90% of the claim, whichever is lower.
1.1 Covered Clients
The ICF covers Retail Clients of ActivBrokers. Professional clients and eligible counterparties are excluded from coverage.
1.2 Uncovered Clients
The following clients are not eligible for compensation:
- Institutional and professional investors, such as banks, insurance companies, and investment firms.
- Government and administrative bodies.
- Company executives, shareholders holding more than 5% of the Company’s shares, and persons responsible for the Company’s audits.
- Third parties acting on behalf of the individuals mentioned above.
1.3 Covered Services
Covered services include the following investment activities offered by ActivBrokers:
- Reception, transmission, and execution of orders.
- Dealing on own account.
- Portfolio management and investment advice.
2. Compensation of Covered Clients and Payment Procedures
2.1 Conditions for Compensation
Compensation is provided when ActivBrokers is unable to:
- Return funds owed to clients or held on their behalf.
- Deliver financial instruments that are owned by the client but held by the Company.
2.2 Initiation of Compensation Payment
The compensation payment procedure is activated when one of the following conditions occurs:
- ActivBrokers declares in writing that it is unable to meet its obligations to clients.
- A court order suspends client claims against ActivBrokers due to financial circumstances.
- Regulatory authorities determine that ActivBrokers is unable to meet its financial obligations, with no foreseeable improvement.
3. Procedures
3.1 Application for Compensation
Once the compensation payment process begins, the ICF will invite affected clients to submit their claims, providing details of the application process and deadlines. Clients must submit applications within a defined period, usually between five to nine months.
3.2 Evaluation and Approval of Claims
The ICF reviews submitted claims to determine eligibility for compensation. This process may involve requesting supporting documents from ActivBrokers and the client, as well as conducting an evaluation of the claim.
The ICF will:
- Evaluate claims based on the client’s agreement with ActivBrokers and the amount claimed.
- Issue decisions on applications, which are communicated to ActivBrokers, CySEC, and affected clients.
3.3 Payment and Additional Procedures
If a claim is approved, the compensation amount will be calculated as the lower of 90% of the client’s total claims or EUR 50,000. Payments are made within three months from the date of the compensation decision. The funds are deposited directly into the client’s designated bank account.
4. Additional Information
The ICF reserves the right to amend this policy as necessary to comply with regulatory requirements. If clients have questions about the compensation process, they should contact ActivBrokers’ support team.
This policy ensures ActivBrokers’ commitment to protecting retail clients and maintaining transparency in financial operations.
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Juarez Cardoso
CEO of ActivBrokers
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ActivBrokers.com is a trading platform operated by WETRUST TRADE GLOBAL LIMITED, providing access to a wide range of financial instruments for global investors. The platform is designed to offer a seamless trading experience, leveraging advanced technology and user-friendly interfaces to meet the needs of both beginner and professional traders. ActivBrokers.com integrates cutting-edge tools to facilitate informed trading decisions, helping clients achieve their financial objectives.
WETRUST TRADE GLOBAL LIMITED is a company regulated by the Mauritius Financial Services Commission (FSC) under license number GB23202431. The company’s registered address is 33, Edith Cavell Street, Port-Louis, Mauritius. The company’s objectives include all legal activities permitted under the regulatory framework of Mauritius, particularly offering brokerage, training, and managed account services in currencies, commodities, indices, CFDs, and leveraged financial instruments.
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Important Note:
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