alpari.co.uk



We are regulated by the FSA, number 448002.



We do not give out any information like auditors or accounts. This will be available from www.companieshouse.gov.uk



We have interbanks such as Barclays, UBS and Bear Sterns and other price providers.



The first $5,000 is segregated and anything over is pooled in company funds.



In case of insolvency you are covered by the FSA compensation scheme where you can get back up to £35,000.



We have procedures that are guide lined by the FSA. If dispute still cannot be resolved clients can go to the Financial Ombudsman.



We do not close accounts just because they are winning. We are a market maker who will cover our exposure when needed. This means we will take the opposite trade to our clients. If you are a consistently winning client and your traded volume is sufficient to affect our overall position then we will hedge you immediately. We do not trade against anyone's position and certainly do not manipulate prices. We aim to be in this business a very long time and by practicing the methods you mention would not mean this would happen.



We have no restrictions for news trading, we may widen our prices over volatile news releases and rate decisions to mirror our price providers.



We have no restrictions for scalpers.



No we are not an ECN

infinitybrokerage.com

Thank you for your interest in Infinity Brokerage for your trading needs.  My name is Josh Alexander and I am your representative at Infinity.  Please contact me any time you need anything, my contact information is in my signature below.



Kind Regards,



I am interested to trade forex but i need to know more details about your brokerage service, please answer the following questions:

Who are your regulators?

NFA & CFTC

Do you have a licence number?

NFA ID: 0266569

Who is your auditor?

NFA & CFTC

Can you send me attached in the mail documents that prove your compliance and the last 3 year audits?

http://www.nfa.futures.org

This is the NFA's website.  You can search our firm on the BASIC section.

Who are your liquidity providers?

FX Solutions

Are the traders funds held in trust in a separated account or they are used for operational expenses?

Funds are held in a separate account

In case of insolvency or bankruptcy there are some kind of governamental fund to protect traders?

US derivatives business is much regulated.  We are in compliance with these strict regulations.

In a case of a dispute between the trader and the brooker what third party will solve the complaint issue?

You would have the opportunity to use an arbitrator or a lawsuit.

If i am a winning or a professional trader will i get my account limited and closed with winning trades cancelled?

NO

You are a market maker with a dealing desk that may trade against my position?

We have a dealing desk but it is there to assist in clients trades.  We do not trade against clients positions with a house account.  98% of trades are electronically meshed.  Extremely large trades have to be assisted by a person but the goal is to be as hands off as possible.

Do you manipulate prices?

NO

Can i trade during news?

YES

Is scalping allowed?

YES

Are you an ECN?

No

Regards

saxobank.com

Bellow, you will find the answers to your questions previously sent. If you need more detailed information, please contact me again.



·         Who are your regulators? FINANSTILSYNET



·         Do you have a licence number? 1149 (Group 3)



·         Who is your auditor? KPMG



·         Can you send me attached in the mail documents that prove your compliance and the last 3 year audits?

http://www.saxobank.com/__DotNet/site/introduction/aboutus/financialacc/2005.Page/AnnualReport2005.pdf

http://www.saxobank.com/__DotNet/site/introduction/aboutus/financialacc/2006.Page/AnnualReport2006numbers.pdf

http://www.saxobank.com/__DotNet/site/introduction/aboutus/financialacc/2006.Page/Saxo%20BankHalf-YearReport2007EnglishSigned.pdf



·         Who are your liquidity providers? Among others: Goldman Sachs, UBS, CitiGroup, HSBC, JP Morgan, Barcalays.



·         Are the traders funds held in trust in a separated account or they are used for operational expenses? The Trading Agreement allows Saxo Bank to pass on deposits received from clients in order to meet our obligations to counterparties (General Business Terms clause 5.6.(i)). This might be relevant when we allow you to trade on margin, and margin is required from us by our counterparties. This is not at all the same as using client funds for operation expenses. Please note that clients deposits up to DKK 300,000 (approximately EUR 40,000) plus securities up to EUR 20,000 is secured by the Danish Guarantee Fund for Depositors and Investors (General Business Terms clause 23.3). Furthermore securities are held separately, so that these can normally be withdrawn entirely in the case of default (General Business Terms clause 7.5).



·         In case of insolvency or bankruptcy there are some kind of governmental fund to protect traders? Yes. In the unlikely event of Saxo Bank's default/bankruptcy the client is to some extent protected in accordance with the regulation of The Guarantee Fund for Depositors and Investors (hereafter "The Fund"). The level of protection depends on if the client has deposited cash or securities in Saxo Bank. The term bankruptcy covers in this context the different forms of insolvency according to Danish law. As a general rule securities will not be affected by default/bankruptcy. The client will therefore be entitled to have the securities returned.



·         In a case of a dispute between the trader and the broker what third party will solve the complaint issue? The Danish Complaint board of Banking Services and the Court of Copenhagen.



·         If i am a winning or a professional trader will i get my account limited and closed with winning trades cancelled? The fact that a client is winning or is a professional trader is not a reason to have his account neither limited or closed. There are, though, other circumstances which lead Saxo Bank to Limit/Close an account.



·         You are a market maker with a dealing desk that may trade against my position? Yes.



·         Do you manipulate prices? Saxo Bank is a market maker and, therefore, quotes it's own prices.



·         Can i trade during news? Yes.



·         Is scalping allowed? Yes.



·         Are you an ECN? No.



Please provide me with a phone number at which I can contact you in order to make you a call and give you a personalized service.



Should you have further questions, please contact me again.

fxsol.com

Good day to you!!!!

I would love to answer all of your questions.  What is a good number to reach you on so we could discuss this?

Thank you,


We are regulated by the CFTC and the NFA.  Our NFA I.D. number is 0312620.  I cannot give out info regarding our auditors and the last three years audits.  Your funds would be held at J.P Morgan Chase in a segregated account away from company expenses.  Funds are never guaranteed wherever you trade.  We are very secure and safe having a strong financial backing by fransisco partners ($100,000,000 investment with us) and city index group.  We are also regulated by CFTC and NFA so we have to meet daily, weekly, and monthly numbers.  In any dispute we would be the one handling the dispute.  If there is any mishap on a customers account we would make up for it by adding equity to your account.  We are quite reasonable when it comes to disputes.  You will not have trades cancelled, no manipulation of prices and we do not trade against you.  You can scalp and use any trading strategy you prefer.  We are a market maker and have a customer support desk.  This would be used for customers who call in to place a trade for emergencies.  Our system is 99.3 percent auto executed with minimal human manipulation.

Please let me know if this helps.

optionsxpress.com

Thank you for contacting optionsXpress.  We do have spot market currency option products available for trading on the ISE and the PHLX.  We currently do not support forex spot market trading in any other marketplace but the exchange backed contracts.  Here are a few links to the exchange websites that provide more detailed information.



http://www.phlx.com/market/WorldCurrencyOptions.asp





http://www.ise.com/WebForm/options_product_fxOptions.aspx?categoryId=98&header0=true&menu2=true&link1=true



We also provide for IMM currency futures and options trading at the Chicago Mercantile Exchange.  Our regulatory responsibilities fall under the domain of  FINRA.  Here is a link to their website:



http://www.finra.org/index.htm



As a publically trade company, financial status and audit data requests may be viewed at anytime on these links:



http://www.optionsxpress.com/welcome/risks/financial_condition.aspx



http://www.optionsxpress.com/welcome/frame.aspx?url=https://investor.shareholder.com/oxps/



http://www.optionsxpress.com/welcome/frame.aspx?url=https://investor.shareholder.com/oxps/



optionsXpress does not act as a liquidity provider.



Please let me know if you have any questions or if I can be of further assistance.



Regards,

WindsorBrokersLtd.com

Thank you for your interest in Windsor Brokers Ltd.



Reference to your inquiries, kindly note the following:



Windsor Brokers Limited is an International Financial Services Company based in Limassol , Cyprus . Windsor is licensed and regulated by CySEC (The Cyprus Securities and Exchange Commission) and EEA Authorized by FSA (The Financial Services Association– UK ).


Windsor is also member of CIFSA, (The Cyprus International Financial Services Association) and CFSFA, (The Cyprus Financial Service Firms Association), two professional bodies that aim to promote and maintain high ethical standards among their members in the provision of services to their clients.


Windsor is a principal broker offering clients access to Foreign Exchange Markets covering major world currencies, Stock Indices including Nasdaq, Dow Jones and S&P 500 as well as Precious Metals, Futures (OTC) and other commod it ies that are quoted on major world exchanges.



Clients' funds are kept in segregated accounts in first class back, thus guaranteeing the safety of funds.



Clients who are opening real accounts w it h Windsor Brokers, their work is regulated according to the rules and regulations assigned by CySEC ( Cyprus Secur it ies and Exchange Commission). As per the CySEC regulations clients' funds are held in segregated accounts guaranteeing it s safety. In addition, as per our account opening agreement the contact details of CySEC compliance department will be provided to our clients.



Windsor is a principal and Independent broker that follows the European regulation standard in giving the access to the financial markets to clients and our prices are based on few major international sources.



With regard to your method of trading kindly note that you may trade as many transactions as you wish per day and close them at any time, we do not have a problem with that. However please note that we can not guarantee accepting new orders few minutes of major announcements and we do not as well guarantee filling stop orders at the specified price in case of extraordinary volatile market conditions.



With regard to scalping, different companies have different definitions of scalping especially in terms of the time gap between opening and closing the position. At Windsor we tend to give our client to use the trading strategies that suits their need and if the client trading strategies is considered inappropriate our unprofessional the client is officially advised before taking any action concerning his account.



We do not stop our customers from trading through news; however we can not guarantee accepting new orders few minutes of major announcements and we do not as well guarantee filling stop orders at the specified price in case of extraordinary volatile market conditions





Should you need further information on our company profile or services, please do not hesitate to contact us.



Kind regards,

amifx.com

Hi,



I am interested to trade forex but i need to know more details about your brokerage service, please answer the following questions:

Who are your regulators?[joaneen davis ] yes

Do you have a licence number?[joaneen davis ] yes

Who is your auditor?[joaneen davis ] are you asking who we are regulated by? NFA: National Futures Association

Can you send me attached in the mail documents that prove your compliance and the last 3 year audits?[joaneen davis ] no, however, if we were not in compliance the NFA would not allow the doors open

Who are your liquidity providers?[joaneen davis ]  two of our providers are Macquarie Bank and Saxo Bank

Are the traders funds held in trust in a separated account or they are used for operational expenses?[joaneen davis ] we do not use these funds for Operating expenses, we are a STP therefore these funds go the providers to cover the positions you hold.

In case of insolvency or bankruptcy there are some kind of governamental fund to protect traders?[joaneen davis ] no

In a case of a dispute between the trader and the brooker what third party will solve the complaint issue?

If i am a winning or a professional trader will i get my account limited and closed with winning trades cancelled? [joaneen davis ] no

You are a market maker with a dealing desk that may trade against my position?[joaneen davis ] we are not a market maker

Do you manipulate prices?[joaneen davis ] no

Can i trade during news?[joaneen davis ] yes

Is scalping allowed?[joaneen davis ] no

Are you an ECN?[joaneen davis ] no



Regards

gtltrading.com

Let me take this opportunity to thank you for your interest of doing business with us. With regards to your inquiries:
1) GTL is regulated in two regions: UAE & Switzerland http://208.109.168.194/compliance-and-regulations.aspx
2) We are not disclosing the license number nor give certification but you can verify our membership through the link http://www.dgcx.ae/MembersList.aspx under GTL Trading DMCC. we are licensed under the POLYReg of federal financial intermediary in Zoug, Switzerland. You may verify the authenticity in our office in Geneva which will be launching for its opening next week.
3) The company auditor is based in Dubai (Ibrahim Abbas and Company) - which meticulously audited the company balance sheet.
4) We are the Clearing member of DGCX for future & the liquidity provider for spot is from major banks & Corenex.
5) All trading funds were held in a Segregated accounts and the company held no rights to transfer nor use for operational purpose. GTL is a group of companies which maintaining the excess capital required by the regulators.
6) All funds were held in triple A banks and are closely monitored by the regulators with the refrence of NTCA reports which is provided by our company to the regulators.
7) Due to company policies, we are afraid to disclosed company certifications unless we have KYC of the client and are known by the company.
In some cases, we comply written agreement (not a normal procedure) to high net worth client, this is subject to terms & conditions.
9) ON Forex trading -we offer interest FREE http://208.109.168.194/Interest_free_trading.aspxwith no time limit, wether you are in profit or in lose so long as you have avilable margin you can held your postions for as long as you want.
10) We have 5 state of the art platforms which offer auto trade http://www.gtltrading.com/trading-platforms.aspx , with no dealing interference.
11) During news data or hectic market client can place their order.
12) We have new platform which allow scalp trading..I will give you full detail once we launched this platform.
13)ECN..Yes we are.
Hope I had covered all your queries, if there is information that I've missed, please feel free to contact us
Look forward to hearing back from you.
Kind Regards,


Follow up to earlier mail. I would appreciate if you could provide us further information as to which instrument are you interested in and the volume trades per month? I am pleased to inform you that we are also into market making and liquidity providing. We offer this service for high net worth client which can initiates $1M (further details will be discussed later on if you are interested).
I would be glad, if you could provide us your contact detail and the suitable time to speak so I can arrange a call for you and offer some assistance if necessary.

Look forward to hearing back from you.
Best,

oanda.com


Thank you for contacting us.

We are the first forex trading platform to show price movements ingraphical form, making currency trading more understandable to moretraders. The first and only platform to provide true 24/7 trading, even on weekends. The first and only platform to calculate and pay interest by the second. The first platform to introduce pipettes (fractional pips).

Further the safety of your fundsis of primary importance to us, and we would like to assure you thatOANDA is registered with the U.S. Commodity Futures Trading Commission(CFTC) as a Futures Commission Merchant (FCM), and OANDA is a member ofthe National Futures Association (NFA # 0325821), who conduct regularaudits of OANDA's operational and financial practices. You may wish toreview these sites as well.
You may also click on the following link to see some financialinformation about a number of Forex brokers including OANDA.
http://www.cftc.gov/tm/tmfcm.htm
Ultimately, we strongly believe that our business practices provide thegreatest measure of protection for you. We are in fact quiteconservative with respect to our risk-management techniques, and makedecisions based on building long-term relationships with our customers. In the unlikely event of anOANDA bankruptcy, all customer funds would be administered by a trusteeaccording to U.S. bankruptcy laws. Customers would contact thisdesignated trustee and be entitled to a pro rated distribution ofavailable assets. Please note that this is not a guarantee that youwould be able to recover all of your funds

As a 100% automated platform, FXTrade does not offer a phone tradingoption. We do not trade against our clients. If you loose money, we loose money, it is not in our interest to trade against our clients, we hedge your position. As well we do not manipulate prices. The trading platform does, however, allow users to placestop-loss, take-profit and upper and lower bound limits to facilitatetrades.

The term scalping here primarily refers to latency trading, whereclients unfairly exploit, to their advantage, delays that may occur dueto the fact that FXTrade is Internet-based. Onthe rare occasions when we have believed a customer has been trading inthis manner, we try to contact them and ask them to stop. Usually thisis effective, but in the few cases this has not been effective, westart to reverse the trades that were executed unfairly. If necessary,we also close the account.

We can appreciate you wanting to know that, but unfortunately we cannotdisclose this type of proprietary information. We can say that tradingvolume, number of customers, and number of trades is expanding rapidly.

With respect the remaining questions you have , while unfortunately there is some information that isconfidential, we do try to be as open as possible with our customers.For example, we have an open forum on our web site where our customerscan interact with each other and with us. In addition to active tradingdiscussions, people are free to discuss the FXTrade platform andfeatures very candidly. We think if you read through some of thosepostings it will help you get a sense of our system and customercommunity. Our trader forums can be found here:
http://www.fxtrade.com/community/forex_forums.shtml

We hope this information helps.

Kind regards
FXTrade Team

2pipsforex.com

Hi,

  I am interested to trade forex but i need to know more details about
your brokerage service, please answer the following questions:
  Who are your regulators?
  Do you have a licence number?
  Who is your auditor?
  Can you send me attached in the mail documents that prove your
compliance and the last 3 year audits?
  Who are your liquidity providers?
  Are the traders funds held in trust in a separated account or they
are
used for operational expenses?
  In case of insolvency or bankruptcy there are some kind of
governamental
fund to protect traders?
  In a case of a dispute between the trader and the brooker what third
party will solve the complaint issue?
  If i am a winning or a professional trader will i get my account
limited
and closed with winning trades cancelled?
  You are a market maker with a dealing desk that may trade against my
position?
  Do you manipulate prices?
  Can i trade during news?
  Is scalping allowed?
  Are you an ECN?

1. Belize
2. Number 56718
3. DROIBC
4. Please, see attachment for Certificate of Good Standing.
5. It is confidential info
6. Yes it is.
7. No
8. No third party.
9. No
10. No winning trades can be cancelled
11. We do not have dealing desk
12. No
13. Yes you can
14. Yes it is.
15. Yes.

Best regards

itradefx.com

A number of your questions can be answered through the client agreement, which I have attached to this email.



1)       We are regulated by the NFA (National Futures Association) which is granted its power by the CFTC.

2)       Our NFA ID is 0367140 and can be seen here:  http://www.nfa.futures.org/basicnet/Details.aspx?entityid=0367140&rn=Y

3)       The NFA conducts any audits.  There are no 3-year audits.  We are audited every single year, and we must provide numbers to the NFA on a weekly basis.

4)       I could not disclose our liquidity providers, due to non-disclosure agreements.  I can tell you we have several providers, and they are some of the major world banks.

5)       You can read the client agreement about solvency and bankruptcy.  No US brokerage will have separated accounts.

6)       We do not limit winning or professional traders as far as I am aware.  We have many successful traders here who have had long-term relationships with us.

7)       I-Trade FX is a market maker â€" this means we have the option of passing on the trade to the banks, trading with you, or trading against you.   Many brokerages will have a trading desk of some type.  I will ask you to follow this bit of logic though â€" do you really think any brokerage is doing millions to billions of dollars worth of transactions without any oversight whatsoever?  A trading desk can also be an advantage in that you have someone to call at any hour if there’s an issue.  I won’t really debate with you the merits of an ECN versus a market maker, because you likely already have your own ideas in mind about the differences â€" I can tell you though that we have many satisfied clients and that many firms claiming to have no dealing desk have some sort of oversight on the trades going through them.

       You can trade during news.  You can scalp.

forex.ch

Thank you very much for your interest in GFX Group SA.



-          GFX is supervised as a Financial Intermediary according to Swiss regulation with regards to prevention of money laundering, and is audited by KPMG.

-          You can find GFX on the register of Commerce by visiting the following link : http://rc.geneve.ch/

-          Our liquidity provider is UBS

-          Customers are assured that GFX consistently meets the strictest standards of financial stability and proper handling of client funds. Furthermore, client funds are maintained segregated from GFX's own assets, thereby offering security of client funds. http://www.forex.ch/funds.htm

-          We do not manipulate prices and we do not trade against you

-          You can trade during news time

-          Scalping is allowed



Please do not hesitate to contact me if you need more information.



Best regards,

crownforex.com

For your questions;



Who are your regulators? www.ARIF.ch

Do you have a license number? No

Who is your auditor? CRF

Can you send me attached in the mail documents that prove your compliance and the last 3 year audits? Who are your liquidity providers? No but we are compliant with the Swiss regulations.

Are the trader's funds held in trust in a separated account or they are used for operational expenses? Yes

In case of insolvency or bankruptcy there is some kind of governmental fund to protect traders? No

In a case of a dispute between the trader and the broker what third party will solve the complaint issue? JURA legal system

If I am a winning or a professional trader will I get my account limited and closed with winning trades cancelled? No but the company reserves the right to close positions and cancel positions just incase of technical problems or misuse "it's all detailed in the trading agreement and our trading policies published on the website"

You are a market maker with a dealing desk that may trade against my position? We do not trade against the client.

Do you manipulate prices? You will always get the fair market value

Can i trade during news? Yes

Is scalping allowed? Yes



Please read the attached documents.

forex-swiss.com

Dear Sir,

Because of CFD our company is regulated under law Commonwealth of
Dominica. The Company is registered as Foreign Exchange Clearing House
in
January 2004. The Company's registration number is 9126, and authorized
to
deal in Spot Foreign Exchange market and derivatives (CFDs) of
commodities.

FXCH is also proud that we conduct business honestly and the company
has
no complaints from clients. FXCH has a Certificates of Good Standing
for
2004, 2005, 2006, 2007 and 2008 years which can be sending to you upon
your request.
The company registration address is:  8 Copthall, Roseau, St. George,
00152 Commonwealth of Dominica.
We do not hide from anybody the nature of our business. We are the only
one company that is registered under the name that represents its type
of
business, unlike some of companies that have similar to Capital Market,
etc.  The name of the company Foreign Exchange Clearing House shows
itself
what kind of business we do. We have very professional people working
in
our company.
Our company has an account in very well know solid Bank: Commerzbank
AG,
Potsdamer Str.125, D-10783 Berlin, Germany SWIFT Code: COBADEBB
https://www.commerzbank.com/


Best regards,


Dear Sir,

Assuring client fund safety is one of the single most important factors
in
the financial industry. In addition to years of experience managing
risk
and a strong balance sheet, FXCH offers legal and structural guarantees
as
to the safety of your deposited funds:

Client funds held with Foreign Exchange Clearing House Ltd ("FXCH") are
maintained in separate Customer Funds accounts and may never be
utilized
for operating expenses or for other purposes or commingled with FXCH's
operating capital.

Client funds held with FXCH are maintained in separate accounts at
triple
A rated financial institutions for the sole purpose of the clients'
trading activity and are never commingled with operating capital of the
company. Withdrawals from these bank accounts occur only as a direct
result of clients' trading activities or an authorized request for
withdrawal.
In the unlikely event of FXCH's bankruptcy, client funds are legally
protected and returned directly to the customer.

Best regards,

forexltd.co.uk

We recommend You to find all necessary information on our site and in the attached Client Agreement.


If any other questions arise, please do not hesitate to write us. We will be glad to see You among our Clients.

[email protected]
---
With respect,
Forex Ltd