Germany and EU: Responsibilities
Which bodies supervise which activity?
Regulation & consumer protection
Regulation & consumer protection
Legal and compliance information is translated from German. Reference language notice.
Permission, obligations and legal prosecution from the perspective of the user.
Already readable
Start exploring.
Open
Consumer protection and brand clones
Check seriousness, technical observation and responsibility on the basis of different evidence.
OpenWho is allowed to offer CFD and FX trading?
EU, UK, Switzerland and USA: Provider roles, authorisation, capital and cross-border market access – with verifiable sources and clear borders.
OpenCFD loss-account percentages: calculation, requirements and interpretation
What the mandatory percentage actually measures, how a provider determines it and why it does not replace a broker ranking.
Substantive structure
Topic register.
UK, Switzerland and third countries
What differences does a user need to check?
Requirements for broker organisation
What functions and controls are to be investigated?
Client funds and insolvency issues
How are claims and funds organized?
Appropriateness and suitability
Which audit belongs to which service?
Execution Principles and Order Quality
What rules govern execution?
Conflicts of interest and remuneration
How are incentives disclosed and controlled?
Risk statements and advertising
What statements does a user need before getting started?
Product intervention and customer protection
What restrictions apply in which jurisdiction?
Contracts, EULA and jurisdictions
Where and against whom can claims be prosecuted?
Complaints and dispute settlement
How is a process documented and addressed?
Warnings and clone firms
How do I distinguish original and identity abuse?
Manager authorisation and delegated trading
What obligations can arise from the management of third-party accounts?
Preservation of evidence in case of execution problems
Which documents and data help with reconstruction?
Fraud patterns and payout hurdles
Which processes deserve a separate audit?
All topics and processing statuses →
Explore related topics