Alpha AI PlatformLicenses & Regulatory Information
This page explains, in general terms, who operates Alpha AI Platform, the framework the service works within, where it is and is not offered, and how to obtain our corporate and compliance documentation.
- Documents available on request
- Defined jurisdiction policy
- Written compliance procedures
On this page
- Operating entity
- Regulatory contact
- What this is not
- Requesting documents
- Jurisdictions
- Regulatory framework
- Notes on this page
Which legal entity operates the service
Alpha AI Platform is a trading name used by the company that owns and operates this website and the associated client platform.
The entity with which you enter into an agreement upon your acceptance of 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.
Because corporate structures, registered particulars and service arrangements can change, we deliberately do not restate them as fixed text on a marketing page. The client agreement and the documentation pack we send you are the authoritative source; where this page and those documents differ, the documents prevail.
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 We do not publish provider names on this page.
Regulatory and compliance questions
Questions about our regulatory position, our compliance procedures, or a concern you would like escalated should go to the compliance route rather than to general support.
How do I raise a compliance question?
Send it through the contact page and mark it "Compliance". Include the account email address if you already hold an account, and describe the question in a sentence or two.
How do I make a formal complaint?
Use the same route and mark the message "Complaint". You will receive an acknowledgement, a reference and an indication of the timeframe for a substantive reply. If the outcome does not resolve the matter, the reply will explain the further escalation options available to you.
How should I submit reports of unlawful conduct or misuse of our organization?
Visit the abuse-reporting section. Any accounts masquerading as Alpha AI Platform through communications, promotional materials or replica platforms should be flagged there to enable swift intervention.
Are requests from corporations or media representatives processed differently?
Yes - send them through the contact page with a clear subject line and they will be routed to the right team.
What Alpha AI Platform is not
Defining what we do not offer is equally vital as explaining what we do offer.
| Statement | Position |
|---|---|
| Personal investment advice | Not provided. Information, education and market commentary are general in nature and do not take your circumstances into account. |
| Tax, legal or accounting advice | Not provided. Consult an appropriately qualified professional in your jurisdiction. |
| 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 assured. Historical returns do not constitute confirmation of likely future performance. |
| Discretionary portfolio management | We do not trade an account on a client's behalf at our own discretion. |
| Execution and account services | ✓ Made available, conditional on authentication, meeting requirements and compliance with applicable terms. |
Investment capital carries loss risk. Investment values may decrease in addition to increasing and you might recover less than the sum invested. Consult the Risk Disclosure document prior to using the service.
Process for obtaining corporate and regulatory documents
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
- Details of the operating organization and its registered information.
- The current client agreement and the schedule of costs applicable to your account.
- An overview of our money-laundering prevention and customer verification protocols.
- The complaints-handling procedure and escalation route.
- Privacy statements regarding your individual data.
How to make the request
- 01
Write to us
Use the contact route on our contact page. Include "Regulatory documentation request" on the message 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.
Jurisdictions served and excluded
The service is made accessible only in jurisdictions where we hold permission. Eligibility is determined at sign-up based on your place of residence, and this may be subject to change.
Where the service is offered
Accounts may be opened by residents of the countries listed as eligible in the registration flow of your account. If your country appears in that list and you pass verification, you can proceed. If it does not appear, the service is not available to you.
Where the service is not offered
- Countries and territories subject to applicable international sanctions or embargoes.
- Jurisdictions where offering this type of service to retail clients requires a local authorisation we do not hold.
- Territories classified as elevated risk for money-laundering and financial crime per applicable rules.
- Any territory we have chosen to exclude for internal risk reasons.
No solicitation
Nothing contained on this website constitutes an offer to, or is designed for circulation among or application by, any individual in a territory where circulation or application would breach applicable rules. Access to this website from a restricted territory does not confer entitlement to the service. Should your residence shift to a restricted territory while you maintain an account, notify us immediately - your account may require limitations or termination and any funds transferred back to you.
The regulatory framework we work within
We outline here the categories of duties that apply to the service, rather than referencing regulatory bodies or citing regulation identifiers, which are contained in the binding agreement.
- 01
Client identification
All accounts undergo verification prior to any funding, trading or withdrawal activity, consistent with the KYC and AML procedures set out on our KYC & AML page.
- 02
Financial-crime prevention
Screening for sanctions and financial crime risk, continuous surveillance of activity, internal reporting systems and archiving according to timeframes mandated by relevant regulation.
- 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
Costs, spreads and any applicable fees are published in your account and on our pricing page. We do not promise specific returns, and all promotional material carries a risk warning.
- 05
Data protection
Personal data is handled under a specified lawful purpose, kept no longer than required, and safeguarded through access restrictions and encrypted transport and storage.
- 06
Complaints handling
A written internal complaints procedure with acknowledgement, investigation and a substantive reply within the timeframe stated when your complaint is logged.
In any location that has more demanding local provisions than those stated above, the more demanding provision applies to customers based in that location.
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.
- This page undergoes periodic review; the version displayed here reflects the most recent version.
- 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 Alpha AI Platform, 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: "Regulatory documentation request".
- Sent to the verified contact details on file.
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