Globally Compliant.
We Have You Covered.

We've integrated recommendations from major regulators across the globe.

At Stackup, we've taken care of compliance considerations for you. Our risk tolerance scores are built to stack up to regulatory scrutiny. See below for how we have incorporated guidance from SEC, FINRA & the ACCC

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Regulatory Backdrop

Financial Industry Regulatory Authority

  • Legislation: FINRA Rule 2111
  • Requirement: Assess risk tolerance to have a reasonable basis to make recommendations suitable

    Stackup Risk is compliant

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Financial Conduct Authority

  • Legislation: MiFID Article 25
  • Requirement: Risk tolerance and ability to bear losses need to be assessed so that the firm can recommend suitable instruments.

    Stackup Risk is compliant

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Australian Securities Investment Commission

  • Legislation: ASIC Licensing Reg. Guide 175
  • Requirement: An investor’s risk tolerance needs to be assessed to fulfill the client 'best interests' duty

    Stackup Risk is compliant

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Ontario Securities Commission

  • Legislation: NI 31-103
  • Requirement: As part of ongoing registration requirements firms are required to meet suitability obligations concerning risk tolerance

    Stackup Risk is compliant

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