Compliance
Compliance
Last updated — January 2026
TheBroker's maintains the highest standards of regulatory compliance, ethical conduct and operational integrity across all jurisdictions of operation. This page outlines our principal compliance commitments.
1. Regulatory Framework
Operations are conducted through entities authorised and supervised by FINMA (Swiss Financial Market Supervisory Authority), CSSF (Commission de Surveillance du Secteur Financier, Luxembourg) and equivalent EU authorities. European activities are conducted in accordance with MiFID II, where applicable.
2. AML & KYC
We apply rigorous Know-Your-Customer, Know-Your-Counterparty and Anti-Money-Laundering procedures, aligned with FATF Recommendations, EU AML Directives (AMLD6) and the Swiss Anti-Money Laundering Act (AMLA). Every relationship is subject to risk-based due diligence and ongoing monitoring.
3. Conflicts of Interest
Our independent fee structure is designed to eliminate conflicts. We hold no proprietary trading book and accept no retrocessions, finder's fees or undisclosed commissions from third-party product providers. All fees are agreed in writing with the client.
4. Anti-Bribery & Corruption
We maintain a zero-tolerance policy on bribery and corruption, in compliance with the UK Bribery Act 2010, the U.S. Foreign Corrupt Practices Act and the OECD Anti-Bribery Convention. All Partners and staff complete annual training.
5. Best Execution
Where investment services are provided, transactions are executed under a best-execution policy aligned with MiFID II Article 27, taking into account price, costs, speed, likelihood of execution and settlement, size and nature of the order.
6. Whistleblowing
A confidential whistleblowing channel is available at compliance@thebrokers.eu. Reports are handled with strict confidentiality and reporters are protected in accordance with Directive (EU) 2019/1937 and Swiss law.
7. Training & Culture
All Partners and personnel complete mandatory annual compliance, AML, conduct and data protection training. Senior Partners bear ultimate accountability for the firm's compliance culture and ethical standards.
8. Compliance Contact
compliance@thebrokers.eu — for any enquiry related to regulatory compliance, ethics or whistleblowing.