Regulatory Compliance

Our regulatory posture, plainly stated

Alphaforge is a software platform that connects users with verified Master Traders and automates the distribution of daily trading results. Securities brokerage services are provided by Alphaforge Financial LLC, a broker-dealer registered with the SEC and a member of FINRA, SIPC, NYSE, NASDAQ, and Cboe EDGX, and a Futures Commission Merchant registered with the CFTC and a member of the NFA. Advisory services are provided by Alphaforge Advisors LLC, an SEC-registered investment advisor under the Investment Advisers Act of 1940.

We operate the software, maintain the integrity of the platform, and apply the compliance practices outlined below. Full entity names, registration numbers, the scope of each registration, and applicable investor-protection coverage are set out in the regulatory disclosures at the bottom of every page.

Compliance practices we maintain

Know Your Customer (KYC) and Anti-Money Laundering (AML)

Every account on Alphaforge completes identity verification before depositing or withdrawing funds. We use a specialist KYC provider to verify government-issued identification, address, and identity-document authenticity. We screen against sanctions lists, politically exposed person (PEP) lists, and adverse media. Accounts that fail verification cannot transact.

Transaction monitoring

Deposits and withdrawals are reviewed for patterns associated with money laundering, terrorist financing, fraud, or sanctions evasion. Suspicious activity is investigated and, where required by law, reported to the appropriate authority in our jurisdiction of operation.

Audit logging

Sensitive actions on the platform — KYC approvals, withdrawal confirmations, daily P&L entries, admin overrides — are logged in a tamper-evident audit trail. The audit trail is retained for the periods required by tax, accounting, and AML law.

Data protection

Personal data is handled in line with our Privacy Policy. We apply industry-standard security measures including encryption in transit and at rest, role-based access controls, and regular security reviews of our providers.

Custody

Customer funds are held in US dollars with our banking and clearing partners under industry-standard custody practices and applicable investor-protection rules. Alphaforge does not commingle customer funds with its own operating funds. Account balances are reconciled daily.

Information security

We require multi-factor authentication for administrative accounts, follow least-privilege access controls, and run regular vulnerability scans across the platform.

What users are responsible for

You are responsible for:

• Determining whether using Alphaforge is lawful in your jurisdiction.
• Reporting and paying any tax due on profits you make (see Capital Gains Tax).
• Securing your account credentials and your linked bank account details.
• Providing accurate bank-transfer details and references when depositing or withdrawing.
• Following the Terms of Service and all applicable laws.

Disputes and complaints

If you believe Alphaforge has failed to meet the standards described here, write to compliance@alphaforge.com. We will acknowledge your complaint within five business days and respond substantively within thirty. If you are not satisfied with the outcome, you may escalate to the appropriate regulator or dispute body in your jurisdiction.

Contact

For questions about our compliance practices: compliance@alphaforge.com.