REGULATION VERIFICATION CHECKLIST
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Complete one copy per broker. Save every document with its date.

BROKER (brand): ______________________   DATE CHECKED: __________

1. THE REGULATION PAGE
   [ ] Regulation page saved (PDF or screenshot, with date visible)
   Company name as written on the page: ______________________
   Licence number as written on the page: ______________________
   Regulator named: ______________________

2. THE REGULATOR'S REGISTER
   [ ] Searched by licence number (not brand name)
   Register firm name: ______________________   Matches page exactly? [ ] yes  [ ] no
   Licence number on register: ______________________   Matches? [ ] yes  [ ] no
   Status: ______________________   Active or authorised today? [ ] yes  [ ] no
   Permitted activity includes the service I am buying? [ ] yes  [ ] no
   Notices or restrictions on the entry (copy in full): ______________________
   Register entry saved with date? [ ] yes

3. THE CLIENT AGREEMENT
   [ ] Agreement saved (dated copy)
   Contracting company named in the agreement: ______________________
   Same company as the register entry? [ ] yes  [ ] no
   Clause number naming the contracting company: ______________________

4. WHICH ENTITY SERVES MY COUNTRY
   Entity for my country (from the broker in writing): ______________________
   Is my country on the restricted list? [ ] yes  [ ] no  (clause/footer: ______)

5. PROTECTION TERMS
   Compensation scheme named: ______________________   Covers my account? [ ] yes  [ ] no  [ ] unclear
   Amount covered per client: ______________________
   Account types and client types covered: ______________________
   Losses excluded: ______________________
   Claim process and deadline: ______________________
   Client funds held in segregated accounts (clause): ______________________
   Bank or custodian named: ______________________

6. COMPLAINT ROUTE
   Internal complaint steps: ______________________
   External body named: ______________________
   Time limit for a complaint: ______________________

7. WRITTEN QUESTIONS SENT TO THE BROKER
   Question sent (date): ______   Reply received (date): ______
   Reply names the contracting company and licence? [ ] yes  [ ] no
   Reply describes segregation and withdrawal on failure? [ ] yes  [ ] no
   Reply saved with this checklist? [ ] yes

8. CHANGES AND MONITORING
   Re-check date set (at least yearly, and on any notice): ______
   Notice of entity or licence change received? [ ] yes  [ ] no

9. DECISION
   Every row above answered, none left as "probably"? [ ] yes
   Any "no" or "unclear" resolved in writing before funding? [ ] yes
   Money I can afford to lose is the only money being deposited? [ ] yes

Keep this checklist with the saved register entry, the agreement, the protection terms and the complaint route.