規制コンプライアンス

Milton Markets is committed to maintaining the highest standards of regulatory compliance and ethical business conduct. This document outlines our compliance framework, regulatory obligations, and the measures we take to protect our clients and maintain market integrity.

As a regulated financial services provider, we adhere to strict regulatory requirements and implement robust internal controls to ensure fair, transparent, and secure trading services for all our clients.

Our operations are governed by a comprehensive regulatory framework designed to protect investors, ensure market integrity, and maintain financial stability.

Milton Markets operates under the supervision of the Financial Services Agency (FSA), which ensures:

• Adherence to capital adequacy requirements
• Implementation of risk management systems
• Proper conduct of business rules
• Fair treatment of clients
• Regular reporting and compliance audits
• Maintenance of professional indemnity insurance

In addition to local regulations, we comply with international standards including:

• FATF Anti-Money Laundering recommendations
• Basel III capital requirements framework
• MiFID II transparency and investor protection standards
• ISO 27001 information security management
• PCI DSS payment card security standards

We maintain a comprehensive Anti-Money Laundering (AML) and Know Your Customer (KYC) program to prevent financial crime and protect the integrity of our platform.

Our KYC procedures include:

• Identity Verification: Government-issued photo ID verification
• Address Verification: Proof of residence documentation
• Source of Funds: Verification of income and wealth sources
• PEP Screening: Politically Exposed Persons checks
• Sanctions Screening: Global sanctions list verification
• Adverse Media: Negative news and reputation screening

We continuously monitor client accounts for:

• Unusual transaction patterns
• Changes in risk profile
• Suspicious activities
• Large or complex transactions
• Transactions inconsistent with client profile

We fulfill our regulatory reporting obligations including:

• Suspicious Activity Reports (SARs)
• Currency Transaction Reports (CTRs)
• Regulatory breach notifications
• Annual compliance reports

The protection of client funds is paramount to our operations. We implement multiple layers of protection to ensure your funds are secure at all times.

Client funds are protected through:

• Segregation: Client funds held separately from company operational funds
• Trust Accounts: Funds held in trust with tier-1 banks
• Daily Reconciliation: Regular audits and reconciliation of client accounts
• No Proprietary Trading: Client funds never used for company trading
• Bankruptcy Protection: Client assets protected in case of company insolvency

Eligible clients may be covered by investor compensation schemes that provide protection up to specified limits in the unlikely event of our insolvency. Coverage details vary by jurisdiction and client classification.

We maintain strict market conduct policies to ensure:

• Fair and orderly markets
• Prevention of market manipulation
• Prohibition of insider trading
• Transparent pricing mechanisms
• Proper handling of client orders
• Prevention of front-running

Our Best Execution Policy ensures that we take all sufficient steps to obtain the best possible result for our clients when executing orders. Factors considered include:

• Price and costs
• Speed of execution
• Likelihood of execution and settlement
• Size and nature of the order
• Market impact
• Any other relevant considerations

We regularly monitor and review our execution arrangements to ensure consistent delivery of best execution.

We maintain a comprehensive Conflicts of Interest Policy to identify, prevent, and manage potential conflicts. Our approach includes:

• Identification: Systematic identification of potential conflicts
• Prevention: Organizational and administrative arrangements to prevent conflicts
• Management: Procedures to manage unavoidable conflicts
• Disclosure: Transparent disclosure when conflicts cannot be avoided
• Record Keeping: Maintenance of conflicts register

We maintain a formal complaints handling procedure to ensure all client concerns are addressed fairly and promptly:

1. Initial Submission: Complaints can be submitted via email or our support system
2. Acknowledgment: Written acknowledgment within 24 hours
3. Investigation: Thorough investigation of all complaints
4. Response: Formal response within 15 business days
5. Escalation: Right to escalate to regulatory authorities if unsatisfied

We implement comprehensive data protection measures to safeguard client information and ensure privacy rights.

For European clients, we ensure full GDPR compliance including:

• Lawful basis for data processing
• Data minimization principles
• Right to access personal data
• Right to rectification and erasure
• Data portability rights
• Privacy by design implementation
• Data breach notification procedures

We retain client data in accordance with regulatory requirements:

• Trading records: 7 years minimum
• KYC documentation: 5 years after relationship ends
• Communications: 5 years minimum
• Complaints: 5 years from resolution

We maintain comprehensive regulatory reporting including:

• Transaction Reporting: Real-time trade reporting to regulators
• Position Reporting: Large position notifications
• Financial Reporting: Regular financial statements and capital adequacy reports
• Risk Reporting: Risk exposure and management reports
• Compliance Reporting: Annual compliance assessments

For compliance-related queries, regulatory matters, or to report concerns, please contact our Compliance Department: