Trading Compliance Disclosures — AlgoTM Regulatory Framework

Is This You?

• You want to understand the regulatory approach of your trading software provider before committing to a licence, and you need assurance that the tools you use meet applicable legal and ethical standards.
• You value compliance transparency and expect that any provider you engage with has clear policies on anti-money laundering, data protection and consumer rights.
• You require full disclosure of risks, limitations and the provider’s position on investment advice before using automated trading technology in live or simulated markets.

Why AlgoTM — Transparent Trading Compliance Disclosures

Compliance is not an afterthought at AlgoTM. It is embedded in how we design our products and structure our operations. Our legal hub contains the full policy library that underpins everything described here. Here is why our approach differs from many trading software providers.

1. Proactive regulatory alignment. We continuously monitor the regulatory landscape in the United Kingdom and key international markets. While AlgoTM provides software rather than regulated financial services, we voluntarily adhere to the principles established by the Financial Conduct Authority and align our operations with UK consumer protection legislation. This means our users benefit from a framework designed with regulatory expectations in mind, even where no specific licence is required.
2. Comprehensive disclosure framework. We do not rely on a single boilerplate disclaimer. Our trading compliance disclosures span risk warnings, anti-money laundering commitments, a no-investment-advice statement and detailed entity information. Each disclosure is maintained as a living document, reviewed quarterly and updated whenever regulatory guidance changes.
3. Accountable and transparent operations. We publish our entity details, complaints procedure and escalation paths openly. If something goes wrong, you know who you are dealing with, how to raise a concern and what to expect by way of a response. Our verification page provides additional checks for users who wish to confirm the authenticity of our communications and documentation.

What You Get — Trading Compliance Disclosures from AlgoTM

The compliance framework provides the following disclosures, each maintained as a standalone document and referenced throughout the platform.

• Regulatory Approach. A statement of how AlgoTM positions itself within the regulatory landscape, including the basis on which we provide software — not financial services — and the voluntary standards we adhere to in the absence of a direct regulatory mandate.
• Risk Disclosures. A comprehensive explanation of the risks inherent in trading foreign exchange, commodities, CFDs and cryptocurrencies. This disclosure covers market risk, leverage risk, technology risk and the specific limitations of automated trading strategies. It appears on every product page and must be acknowledged before any purchase.
• Anti-Money Laundering Statement. Our commitment to preventing money laundering and terrorist financing, including the know-your-customer measures we apply, the transaction monitoring systems we operate and our cooperation with authorities such as the National Crime Agency.
• No-Investment-Advice Statement. An unambiguous declaration that AlgoTM does not provide investment advice, trading recommendations or portfolio management services. All trading decisions, whether manual or automated, remain the sole responsibility of the user. Our tools provide data, analytics and execution capabilities — never advice.
• Entity and Identity Disclosure. Full transparency regarding the legal entity operating AlgoTM, including registered address, company registration number and jurisdiction of incorporation. Users should know exactly who they are contracting with and under which legal system any dispute would be resolved.
• Complaints Procedure. A step-by-step guide to raising a concern or complaint, including expected response times, escalation paths and your right to refer unresolved matters to the Financial Ombudsman Service.

How It Works — Accessing Trading Compliance Disclosures

1. Start with this page (immediate). Read the overview of our compliance framework here. Each disclosure is summarised below, with links to the full documents where greater detail is provided.
2. Review the risk disclosures (five minutes). Before using any AlgoTM product, you must read and acknowledge the risk disclosures. These are presented during checkout, on every product page and in our legal hub. The disclosures explain the specific risks of automated trading in plain English, without minimising or glossing over the potential for loss.
3. Read the no-investment-advice statement (two minutes). This short but critical document clarifies the boundary between what AlgoTM provides — software tools and technology — and what we do not provide — investment advice, recommendations or managed services. Understanding this distinction is essential for every user.
4. Familiarise yourself with the complaints procedure (two minutes). Knowing how to raise a concern before you need to makes the process smoother. Our procedure outlines timeframes, escalation stages and your external recourse options.
5. Review entity details (one minute). Confirm the legal identity of the operator behind AlgoTM. This information is also referenced in our press and media section for journalists and analysts conducting due diligence.

What We Expect from You

• Acknowledge the risk disclosures. Trading carries a high level of risk and may not be suitable for everyone. By using AlgoTM software, you confirm that you have read and understood the risk disclosures and accept that past performance — whether of a strategy, a signal or a back-test — is not indicative of future results.
• Understand the no-investment-advice position. AlgoTM does not tell you what to trade, when to trade or how much to risk. Any trading decision you make is your own. If you require investment advice, you should consult an independent financial adviser regulated by the appropriate authority in your jurisdiction.
• Cooperate with anti-money laundering checks. Where AlgoTM is required to verify your identity or the source of funds, you agree to provide accurate and complete information promptly. Failure to do so may result in suspension or termination of your access to the platform.
• Follow the complaints procedure in good faith. If you have a concern, raise it through the designated channels rather than through public forums or third-party intermediaries. This allows us to address issues efficiently and maintain the integrity of the resolution process.
• Stay informed. Compliance disclosures may be updated periodically. We recommend checking this page and our press page quarterly for any material changes that may affect your use of the platform.

Commercials — Compliance Without Additional Charges

Our trading compliance disclosures are an integral part of the AlgoTM service — not an upsell or a premium feature. Every user, regardless of licence tier, benefits from the same compliance framework at no additional cost. The entity disclosures, risk warnings, anti-money laundering protocols and complaints procedure form part of our standard operating model. Where our platform partners with third-party technology providers or licensed software distributors, compliance obligations are clearly allocated in the relevant agreement. There are no hidden compliance charges, no regulatory pass-through fees and no premium tier required to access your rights under the complaints procedure.

Frequently Asked Questions — Trading Compliance Disclosures

Is AlgoTM regulated by the Financial Conduct Authority?

AlgoTM provides software and technology services rather than regulated financial services. We are not required to be authorised by the FCA for our core software activities. However, we adhere to applicable UK legislation including the Data Protection Act 2018, the Consumer Rights Act 2015 and the Proceeds of Crime Act 2002 in respect of anti-money laundering.

Does AlgoTM provide investment advice or trading recommendations?

No. AlgoTM does not provide investment advice, trading recommendations or portfolio management services of any kind. Our platform delivers trading tools, analytics and automation technology. All trading decisions remain the sole responsibility of the user. Any back-test results, strategy simulations or performance metrics presented by our software are historical or hypothetical in nature and should not be interpreted as predictive of future outcomes.

What anti-money laundering measures does AlgoTM follow?

AlgoTM implements risk-based know-your-customer checks, transaction monitoring and suspicious activity reporting in line with UK anti-money laundering regulations. We verify the identity of users where required, monitor for unusual patterns of activity and report suspicious transactions to the relevant authorities. We maintain records in accordance with statutory retention requirements and cooperate fully with law enforcement agencies.

How do I submit a complaint to AlgoTM?

You can submit a complaint via our contact page. We will acknowledge receipt within two business days and aim to resolve all complaints within eight weeks. Our complaints procedure is fair, transparent and designed to reach a resolution without the need for external intervention. If you remain unsatisfied after our internal process concludes, you may escalate the matter to the Financial Ombudsman Service, which provides an independent dispute resolution mechanism at no cost to consumers.

Next Steps

If you have questions about our trading compliance disclosures or need clarification on any aspect of our regulatory approach, please get in touch. Our team is available to discuss your concerns, and our legal hub provides the full policy library. You can also visit our verification page to confirm the authenticity of any AlgoTM document, and monitor our press page for updates on compliance developments.

Risk disclosure: Trading foreign exchange, commodities, CFDs and cryptocurrencies carries a high level of risk and may not be suitable for all investors. Past performance is not indicative of future results. AlgoTM provides trading tools and technology only and does not provide investment advice, portfolio management or guaranteed returns.