Licenses & Regulatory Information
This page outlines in broad strokes the operator of Sterling Fondvale, the regulatory framework governing the service, the territories where it is and is not accessible, and the procedure for acquiring our corporate and compliance materials.
- Documents available on request
- Defined jurisdiction policy
- Written compliance procedures
On this page
- Operating entity
- Regulatory framework
- Jurisdictions
- What this is not
- Requesting documents
- Regulatory contact
- Notes on this page
Which legal entity operates the service
Sterling Fondvale is a commercial designation for the entity that owns and manages this website and the linked user platform.
The operating company is the entity you contract with when you accept our Terms of Use and open an account. Its full registered name, its legal form, its registered particulars and the identity of the group it belongs to are set out in the client agreement you receive at onboarding, and are supplied on request through the routes described in the "Requesting documentation" section below.
Given that ownership structures, registered details and operational frameworks are subject to modification, we refrain from presenting them as permanent information on our promotional content. Your client agreement and the documentation bundle provided to you constitute the definitive reference; if there is any conflict between this page and those materials, those materials shall take precedence.
Group companies and service providers
Certain functions - technology hosting, payment processing, market data, customer identification tools - are carried out by specialist third-party providers under written agreements. The categories of provider we use, and the way your personal data is handled by them, are described in our Privacy Policy. We do not publish provider names on this page.
The regulatory framework we work within
We describe here the type of obligations that govern the service, rather than naming authorities or quoting reference numbers, which belong in the formal documentation.
- 01
Client identification
Every account is verified before funding, trading or withdrawal, in line with the KYC and AML controls described on our KYC & AML page.
- 02
Financial-crime prevention
Sanctions and risk screening, ongoing transaction monitoring, internal escalation procedures and record retention for the periods required by applicable law.
- 03
Handling of client money
Client balances are recorded separately from the operating funds of the business, and payouts are returned to a verified instrument in the client's own name.
- 04
Fair and clear communication
Fee schedules, spread rates and any relevant charges are displayed in your account dashboard and on our fees and charges page. We make no guarantees regarding specific financial outcomes, and all marketing content includes appropriate risk disclosures.
- 05
Data protection
Personal data is processed on a defined lawful basis, retained only as long as necessary, and protected by access controls and encryption in transit and at rest.
- 06
Complaints handling
A documented internal dispute resolution mechanism comprising acknowledgement of receipt, thorough examination and a detailed response within the duration communicated upon registration of your dispute.
Where a jurisdiction imposes stricter local requirements than those above, the stricter requirement applies to clients resident there.
Jurisdictions served and excluded
The service is offered only where we are permitted to offer it. Availability is assessed at registration on the basis of your country of residence, and it can change.
Where the service is offered
Account registration is available to individuals residing in jurisdictions indicated as qualified in the onboarding sequence. Should your jurisdiction appear on that roster and you satisfy the verification process, you may continue. Should your jurisdiction not appear, access to the service is restricted.
Where the service is not offered
- Regions and jurisdictions subject to international sanctions, restrictions or embargo provisions.
- Jurisdictions where offering this type of service to retail clients requires a local authorisation we do not hold.
- Areas designated as elevated risk for money laundering or financial impropriety according to prevailing legislation.
- Geographies we have elected to restrict entry to based on internal compliance assessment.
No solicitation
Nothing on this website is directed at, or intended for distribution to or use by, any person in a jurisdiction where such distribution or use would be contrary to local law. Accessing this site from an excluded jurisdiction does not create a right to use the service. If you move to an excluded jurisdiction while holding an account, tell us - the account may need to be restricted or closed and any balance returned to you.
What Sterling Fondvale is not
Transparency about services we do not provide is equally significant as outlining those we do.
| Statement | Position |
|---|---|
| Personal investment advice | Not available. Insights, instructional resources and analysis of market movements are presented without regard to your individual circumstances. |
| Tax, legal or accounting advice | Not available. Seek counsel from a suitably licensed advisor authorised to practise in your location. |
| A bank or a deposit account | Balances are not bank deposits, do not earn a guaranteed rate, and are not covered by any deposit-guarantee scheme. |
| Guaranteed or fixed returns | Never promised. Past performance is not a reliable indicator of future results. |
| Discretionary portfolio management | We do not trade an account on a client's behalf at our own discretion. |
| Execution and account services | ✓ Provided, subject to verification, eligibility and the published terms. |
Investor capital is exposed to loss. Investment values may decrease and surpass the initial amount invested, potentially resulting in return of principal less than the sum invested. Examine the Risk Disclosure documentation before choosing to engage with the service.
Method for acquiring corporate and compliance materials
Clients, prospective clients and professional counterparties may request our corporate and compliance documentation. We provide it on request rather than publishing it openly.
What can be requested
- Confirmation of the operating entity and its corporate particulars.
- The current client agreement and the schedule of costs applicable to your account.
- An overview of our anti-money laundering protocols and customer verification processes.
- The complaints-handling procedure and escalation route.
- Data-protection information relating to your own personal data.
How to make the request
- 01
Write to us
Use the contact route on our contact page. Put "Regulatory documentation request" in the subject line.
- 02
Identify yourself
State whether you are an existing client (and give the email address on the account) or a prospective client, and which documents you need.
- 03
Receive the pack
Requests are answered within the timeframe stated when your request is acknowledged. Some documents may be provided in extract form where they contain confidential internal detail.
Documents are sent to the verified contact details on file. We cannot send account-specific documentation to a third party without your written authorisation.
Regulatory and compliance questions
Inquiries concerning our regulatory standing, our compliance protocols, or grievances requiring higher-level examination should be directed through the compliance channel as opposed to standard customer support.
How do I raise a compliance question?
Send it through the contact page and note it as "Compliance". Provide the account email if you maintain an active account, and outline your query concisely.
How do I make a formal complaint?
Employ the same communication channel and indicate "Complaint" in your message. You will get a confirmation, a ticket number and information about the expected timeline for our substantive answer. If the resolution does not address your concern, the response will detail the alternative escalation pathways open to you.
How do I report suspicious activity or misuse of our brand?
Navigate to the report abuse feature. Any instances of Sterling Fondvale being misrepresented in communications, promotional content or fraudulent replicas must be submitted via this channel for prompt intervention.
Are institutional or press enquiries handled here?
Certainly - forward them through our contact form with a specific heading and they will be directed to the pertinent department.
Notes on this page
- This page is informational. It does not form part of any contract and does not replace the client agreement.
- Any amounts, limits or processing times mentioned across this site are indicative; the figures published in your account govern.
- The content of this page is reviewed periodically; the version published here is the current one.
- Read alongside the Terms of Use, the Risk Disclosure, the Privacy Policy and the KYC & AML Policy.
Need something in writing?
If you are carrying out due diligence on Sterling Fondvale, ask us directly. We would rather send you the actual documents than have you rely on a summary.
Request the compliance pack
Corporate particulars, client agreement, AML summary and complaints procedure.
- Subject line: "Request for regulatory materials".
- Sent to the verified contact details on file.