Regulation

Regulatory

In the UK, Aspect Capital Limited (Aspect) has been authorised and regulated by the Financial Conduct Authority (FCA) since December 2001 under registration 188395. In order to comply with the regulations of the FCA, Aspect has prepared a Capital Requirements Directive Pillar 3 disclosure document as required by BIPRU 11. A copy of this disclosure document can be obtained here. The document also contains a statement relating to Aspect’s commitment to the UK Stewardship Code.

 

In the USA, Aspect has been registered as a Commodity Trading Advisor and Commodity Pool Operator with the Commodity Futures Trading Commission (CFTC) since October 1999. In addition, Aspect has been registered as an SEC Investment Advisor with the Securities and Exchange Commission (SEC) since October 2003 and has been a member of the National Futures Association (NFA) since October 1999.

 

In Hong Kong, Aspect Capital Asia Limited has been licensed and regulated by the Securities and Futures Commission (SFC) since June 2008.