Licenses & Regulatory Information
This page explains, in general terms, who operates Serendib Capital, 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 framework
- Jurisdictions
- What this is not
- Requesting documents
- Regulatory contact
- Notes on this page
Which legal entity operates the service
Serendib Capital is a trading name used by the company that owns and operates this website and the associated client platform.
When you agree to our terms, the operating company becomes your contractual counterparty. 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 PolicyProvider names are not disclosed on this page.
The regulatory framework we work within
We outline the categories of service obligations here instead of specifying regulatory bodies or citing legislation references, which appear in binding agreements.
- 01
Client identification
All accounts undergo verification prior to any deposits, trading activity or funds withdrawal, as required under the KYC and AML procedures set out 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 funds are held separately from the company's own assets, and returns are sent back to a customer-verified account registered in that client's 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 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
An internal complaints process in writing that includes receipt confirmation, thorough review and a detailed response provided within the period specified at the time your complaint is filed.
Where a jurisdiction imposes stricter local requirements than those above, the stricter requirement applies to clients resident there.
Jurisdictions served and excluded
This service is only accessible where authorised. Eligibility is determined at sign-up based on your place of residence, and may be modified subsequently.
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
- Nations and areas under relevant international sanctions or trade restrictions.
- Jurisdictions where offering this type of service to retail clients requires a local authorisation we do not hold.
- Jurisdictions identified as high risk for financial crime under applicable rules.
- Any jurisdiction we have decided to restrict due to our own internal compliance considerations.
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 Serendib Capital is not
Being clear about what we do not do is as important as describing what we do.
| 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 | These balances are not deposits held at a bank, do not provide a fixed return, and are not protected under any bank guarantee arrangement. |
| Guaranteed or fixed returns | Not guaranteed. Historical results do not serve as a guide to what may happen in future. |
| Discretionary portfolio management | We do not trade an account on a client's behalf at our own discretion. |
| Execution and account services | ✓ Available, provided you pass checks, meet requirements and comply with stated conditions. |
Your money is exposed to market risk. Investment values may decrease as well as increase, and you could end up with less than your initial investment. Review our Risk Disclosure before proceeding with the service.
How to request corporate and compliance documents
Our business records and regulatory compliance papers may be requested by customers, potential customers and other market participants. These are furnished upon request and not made publicly accessible.
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.
- A summary of our AML and client-identification procedures.
- The complaints-handling procedure and escalation route.
- Privacy information about your personal information.
How to make the request
- 01
Write to us
Use the contact route on our contact page. Use "Regulatory documentation request" as your subject.
- 02
Identify yourself
Indicate if you are already an account holder (including the account email) or an intending customer, and specify which materials you seek.
- 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.
Requested materials are forwarded to your registered contact address. We will not furnish documentation pertaining to specific accounts to anyone else unless you give written consent.
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 do I report suspicious activity or misuse of our brand?
Use the report abuse page. Impersonation of Serendib Capital in messages, adverts or cloned sites should be reported there so we can act on it.
Are institutional or press enquiries handled here?
Yes - submit them via the contact form with an appropriate subject line, and they will be directed to the relevant department.
Notes on this page
- This page serves an informational purpose only. It is not an element of any agreement and does not supersede the customer 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 Serendib Capital, ask us directly. We would rather send you the actual documents than have you rely on a summary.
Request the compliance pack
Business information, customer agreement, AML overview and complaints handling process.
- Subject line: "Regulatory documentation request".
- Sent to the verified contact details on file.