Regulatory Compliance
VSIP operates under strict regulatory oversight and maintains full compliance with financial services regulations across all jurisdictions where we operate.
Comprehensive Regulatory Framework
We operate under the oversight of multiple regulatory bodies to ensure investor protection and market integrity.
Securities and Exchange Commission (SEC)
Investment Adviser RegistrationVSIP is registered as an investment adviser with the SEC under the Investment Advisers Act of 1940, ensuring we meet strict fiduciary standards and reporting requirements.
- Fiduciary duty to clients
- Regular regulatory examinations
- Comprehensive disclosure requirements
- Client protection protocols
Financial Industry Regulatory Authority (FINRA)
Broker-Dealer MemberAs a FINRA member firm, we adhere to industry standards for trading practices, customer protection, and market conduct in all securities transactions.
- Best execution standards
- Customer protection rules
- Market surveillance compliance
- Anti-money laundering programs
Securities Investor Protection Corporation (SIPC)
Customer Asset ProtectionClient assets are protected by SIPC insurance, providing coverage up to $500,000 per customer for securities and cash in the event of brokerage failure.
- $500,000 securities protection
- $250,000 cash protection
- Segregated customer assets
- Independent custody arrangements
International Compliance
Global Regulatory StandardsWe maintain compliance with international regulations including GDPR, MiFID II, and other regional requirements for our global client base.
- GDPR data protection compliance
- MiFID II investor protection
- Cross-border reporting
- Multi-jurisdictional oversight
Compliance Programs & Controls
Comprehensive compliance programs ensure adherence to all applicable regulations and industry best practices.
Anti-Money Laundering (AML)
Comprehensive AML program with transaction monitoring, customer due diligence, and suspicious activity reporting.
- Real-time transaction monitoring
- Enhanced due diligence procedures
- Sanctions screening
- SAR filing protocols
Know Your Customer (KYC)
Rigorous customer identification and verification procedures to ensure regulatory compliance and fraud prevention.
- Identity verification
- Beneficial ownership identification
- Risk-based customer profiling
- Ongoing monitoring
Best Execution
Systematic approach to ensuring best execution for all client trades across multiple markets and venues.
- Multi-venue execution analysis
- Price improvement tracking
- Execution quality reporting
- Regular venue evaluation
Market Surveillance
Advanced surveillance systems monitor trading activities for potential market abuse and regulatory violations.
- Real-time trade monitoring
- Market manipulation detection
- Cross-market surveillance
- Exception reporting
Risk Management
Comprehensive risk management framework with real-time monitoring and automated controls.
- Position limits and controls
- Real-time risk monitoring
- Stress testing
- Regulatory capital management
Record Keeping
Comprehensive record keeping systems ensure full audit trail and regulatory compliance for all activities.
- Transaction record maintenance
- Communications archiving
- Regulatory reporting
- Audit trail preservation
Regulatory Reporting & Transparency
Form ADV & Brochure
Annual filing with the SEC detailing our business practices, fees, conflicts of interest, and disciplinary history.
Financial Statements
Audited financial statements and regulatory capital reports filed with appropriate authorities.
Trade Reporting
Real-time trade reporting to regulatory authorities and market data vendors as required.
Risk Reports
Regular risk assessments and stress test results submitted to regulatory authorities.
Compliance Metrics
International Regulatory Compliance
We maintain compliance with regulatory requirements across multiple jurisdictions to serve our global client base.
United States
- SEC Registration
- FINRA Membership
- SIPC Protection
- State Registrations
European Union
- MiFID II Compliance
- GDPR Data Protection
- ESMA Guidelines
- Local Authorizations
Canada
- IIROC Membership
- CSA Registration
- CIPF Protection
- Provincial Compliance
Asia Pacific
- ASIC Compliance (AU)
- MAS Authorization (SG)
- JFSA Registration (JP)
- SFC License (HK)
Compliance Questions or Reporting
Our compliance team is available to address regulatory questions and handle compliance-related matters.
Important Disclosures
VSIP Technology Inc. is registered as an investment adviser with the Securities and Exchange Commission. Registration does not imply a certain level of skill or training. Additional information about VSIP is available on the SEC's website at www.adviserinfo.sec.gov.
All investments involve risk, including the potential loss of principal. Past performance does not guarantee future results. This material is for informational purposes only and does not constitute investment advice.