Regulatory Disclosures
Regulatory Disclosures
Last updated — January 2026
These regulatory disclosures provide important information regarding the regulatory status of TheBroker's, the scope of services offered, applicable risks and complaint procedures.
1. Regulatory Status
TheBroker's operates through duly authorised affiliates regulated by FINMA in Switzerland, CSSF in Luxembourg and equivalent national competent authorities in other EU jurisdictions of operation. TheBroker's is not authorised to provide regulated services in the United States.
2. Target Audience
This website and the services described herein are directed exclusively at professional clients, eligible counterparties and qualified investors as defined under MiFID II, the Swiss Financial Services Act (FinSA) and equivalent regulations. They are not intended for retail investors.
3. Jurisdiction Restrictions
Services are not offered to, or available for, residents of jurisdictions where TheBroker's is not authorised or where the offering would contravene applicable law. Recipients are responsible for ensuring their access complies with local regulations.
4. Risk Warning
All investments involve risk, including the possible loss of all capital invested. Past performance is not a reliable indicator of future results. Certain investments may be illiquid, leveraged, complex or subject to significant value fluctuations. Clients should seek independent advice before any investment decision.
5. Scope of Investment Services
Where investment services are provided, they are delivered on an advisory or arranging basis only. We do not provide discretionary portfolio management unless explicitly mandated under a written engagement letter and supported by appropriate regulatory authorisation.
6. Complaints Handling
Complaints may be submitted in writing to compliance@thebrokers.eu. Complaints are acknowledged within 5 business days and resolved within a maximum of 60 days. Unresolved disputes may be referred to the Swiss Banking Ombudsman, the CSSF mediation service in Luxembourg, or the competent national authority.
7. Cross-Border Services
Cross-border services are delivered under the applicable Swiss-EU cooperation framework, bilateral agreements and, where required, third-country firm regimes. We comply with passporting and notification obligations as applicable.
8. Compensation Schemes
Client assets, where held, are protected under the applicable national investor compensation schemes. Coverage limits vary by jurisdiction. Details are available upon request.