Regulatory Information

Montrock Ltd is licensed and regulated by the Financial Services Commission (FSC) of Mauritius as an Investment Dealer (Full Service Dealer, Excluding Underwriting). The company operates as a Global Business Company (GBC) under the laws of the Republic of Mauritius.

Montrock Ltd is not authorised or regulated by the Financial Conduct Authority (FCA) of the United Kingdom, nor by the Cyprus Securities and Exchange Commission (CySEC). The company does not hold itself out as being regulated by any authority other than the FSC Mauritius.

Montrock Ltd maintains a robust governance framework including:

• Board of Directors with a majority of independent non-executive directors
• Dedicated Compliance function reporting directly to the Board
• Independent Risk Management function
• Internal Audit function
• Audit Committee
• Risk Committee