A framework built on accountability.
Ellery Westcott operates through regulated entities in the jurisdictions where we do business. Each entity is authorised and supervised by the appropriate regulator and is subject to the rules of its home market.
Our regulatory framework is designed to give clients clarity and confidence: clear disclosures, defined roles, and transparent lines of responsibility.
If you would like to confirm the regulatory status of any Ellery Westcott entity, our teams are available to provide the relevant details.
Governance & Compliance
How we are regulated
Regulated Entities
Authorised and supervised by the relevant authorities of the jurisdictions in which we operate.
Disclosures
Applicable regulatory disclosures are available through each regulated entity and updated here.
Client Classification
Clients are classified under applicable rules, which affect the protections and services they receive.
Complaints
Complaints may be raised through our teams or through the applicable regulatory bodies.
Global reach, local rules.
Operating across multiple markets means our business is touched by more than one regulatory regime. We work to meet each local standard while maintaining a consistent, firm-wide standard of conduct.
Visit the dedicated pages for each region to see the specific entities, licences and rules that apply where you are based.
North America
Resources we publish
Regulatory disclosure documents.
How to raise a concern.
Policy and legal documents.
Integrity and oversight.
Your protection matters
We are committed to treating clients fairly, communicating clearly and resolving concerns promptly.
Regulated
Across key jurisdictions
Disclosed
Always clear documentation
Fair
Consistent client treatment
24/7
Support when you need it