Accountability at every level.
Our board and executive leadership set a strong tone from the top, supported by independent oversight and rigorous internal controls.
Compliance is a shared responsibility — every professional understands the standards expected of them and the clients we serve.
This page sets out our legal entity, regulatory status and the compliance frameworks we maintain across the jurisdictions in which we operate.
Legal entity & regulatory status
Legal entity and registered details for Ellery Westcott institutional trading and investment solutions business.
Legal Entity
Ellery Westcott International - institutional trading and investment solutions.
Registered Address
Denver, United States - global headquarters.
Registration Number
Registration number to be confirmed.
U.S. Regulatory Status
Registration and licensing details to be confirmed.
European Regulatory Structure
Spain, France, Germany, Portugal and Romania - structure to be confirmed.
Compliance framework
Applicable requirements, from customer due diligence to client asset protections and digital asset activity.
AML / KYC
Ellery Westcott maintains customer identification, anti-money laundering and risk assessment procedures in accordance with applicable requirements.
Client Asset Arrangements
Custody and asset-safeguarding arrangements to be confirmed.
Digital Asset Compliance
Digital asset activity conducted per applicable laws, regulations and jurisdictional requirements.
Risk Disclosure
View detailed risk factors and disclosures for institutional clients.|risk-disclosure.html
Privacy & Data Protection
How we collect, use and protect client data.|privacy-policy.html
Compliance culture
Governance and compliance are embedded firm-wide. These pillars guide how every professional acts for clients and within the markets we serve.
Ethics & Integrity
A code of conduct applied consistently across all offices.
Independent Oversight
Board committees that challenge and monitor management.
Risk & Controls
Firm-wide risk framework aligned to our risk appetite.
Regulatory Excellence
Cooperation with regulators across every jurisdiction.
Standards we follow
Code of Conduct
Integrity guides every client interaction and market activity.
Anti-Money Laundering
Robust AML and know-your-client controls across the platform.
Conflicts Management
Independent management of information and potential conflicts.
Speak Up
Confidential channels to report concerns without fear.
Learn more about our standards
Review our regulatory information and disclosures.
Regulatory Information