If you have a complaint relating to a broker who provides you with access to an exchange traded product such as Stocks, ETFs, Mutual Funds, Futures, or Options, then you will need to consider whether or not to involve the exchange in order to resolve your dispute. Exchanges have regulatory oversight over certain aspects of how your broker operates, such as the setting of margin requirements or the cancellation of trades. Because trade execution relies in the first instance upon the software platform provided by your broker, and in the second instance upon matching of routed orders within the exchange’s systems, responsibility can be a grey area. However, as long as you are able to clearly forex broker miami the facts surrounding your complaint, then an exchange representative should be able to provide a relatively quick answer about whether or not it is a matter over which the exchange has regulatory oversight.
Please note that Forex, CFDs, Binary Options, and Financial Spread Betting are all over-the-counter products and are not exchange traded or regulated by any centralized exchange. All lists are grouped by continent and arranged alphabetically by country. For each exchange we’ve linked out to the appropriate Wikipedia page, where you’ll find unbiased information about the exchange as well as links to their official website. Finally, you should also be aware that all the exchanges, as providers of financial services, are also subject to regulation by the country’s financial services regulator. Derivative and Commodity Exchange Nepal Ltd. Below you’ll find a comprehensive list of brokerage regulatory agencies by country.
In certain countries such as the US there are several bodies, each responsible for trading of different financial instruments, so visit the website and read carefully to ensure you are approaching the correct organization with your complaint. The regulatory agency that you should use to report a complaint about your broker will vary depending on which country or jurisdiction the broker is registered in. The country in which you live is fairly irrelevant, although typically regulators have proven to be more willing to assist those living in the country which it is specifically their responsibility to oversee. Are You Ready to Approach a Regulator? If you have already explored all possible avenues to resolve your complaint directly with the broker, and you have a written audit trail to prove this, then the regulator is more likely to be willing to assist you. Which Is the Right Regulatory Body? There are also tiers to regulatory control, often with self-governing industry bodies overseen by a government agency.
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If your transactions have taken place through an organized exchange such as the New York Stock Exchange or the Chicago Mercantile exchange, then you will benefit from an additional tier of regulation. Because price data feeds are provided by exchanges, there is less potential for the types of pricing discrepancies that can occur in non-exchange traded instruments. If you’re trading in forex markets, contracts for difference, or financial spread bets, then these products trade on prices offered by the broker’s dealing desk, and there is no centralized or definitive source for pricing information. This does not, of course, mean that your broker should be able to get away with scamming you, but that the 3rd party objectivity that comes from Exchange regulatory oversight will not be there to support you. Having established the points above, you should now be in a position to approach a regulatory body.
You should find our full list of brokerage regulatory agencies a useful resource for this. Place your claim in writing. Try to remain dispassionate and stick to the facts. Don’t confuse the issue with irrelevant or extraneous information, but do make sure that you get across the key aspects of your claim. Remember: you want the regulatory agency to help you, so you don’t want to come across as overly emotional or difficult to deal with, and you should never make threats of any kind. All broker complaints are completely anonymous. If you have a complaint about BelforFX then report it using the comment form below.