Licenses & Regulatory Information
This page explains, in general terms, who operates Oak Capvern, 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
Oak Capvern is a trading name used by the company that owns and operates this website and the associated client platform.
The operating company is the entity that becomes your counterparty 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 We do not publish provider names on this page.
The regulatory framework we work within
We describe here the type of obligations that govern the service, rather than naming authorities or quoting reference numbers, which belong in the formal documentation.
- 01
Client identification
Prior to funding, trading or withdrawal, all accounts undergo verification pursuant to the KYC and AML procedures outlined on our KYC & AML page.
- 02
Financial-crime prevention
Screening for sanctions and financial crime risk, continuous monitoring of transactions, internal escalation mechanisms and archival of records for the durations mandated by law.
- 03
Handling of client money
Client funds are maintained segregated from company operating capital, with distributions made to a verified payment method registered to the client.
- 04
Fair and clear communication
All charges, spreads and relevant fees are displayed in your account settings and our fee schedule. We do not guarantee any particular returns, and promotional content must include appropriate risk disclosures.
- 05
Data protection
Your information is handled according to an identified lawful basis, stored for no longer than needed, and secured through authentication protocols and cryptographic protection during transfer 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.
Should a jurisdiction establish rules stricter than stated herein, those enhanced standards shall govern clients domiciled in that location.
Jurisdictions served and excluded
The service is offered only where we are permitted to offer it. Availability is assessed at registration on the basis of your country of residence, and it can 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
- Regions and jurisdictions subject to international sanctions or trade restrictions imposed by relevant authorities.
- Jurisdictions where offering this type of service to retail clients requires a local authorisation we do not hold.
- Regions designated as elevated risk jurisdictions for money laundering or financial crime under relevant regulatory frameworks.
- Any territory we have chosen to exclude for internal risk reasons.
No solicitation
This website and its contents are not marketed toward or intended for access or use by persons in jurisdictions where provision would contravene local legislation. Use of this site from a restricted jurisdiction does not grant permission to access services. Should your residence change to a restricted jurisdiction while you maintain an account, you must notify us immediately - your account access may be limited or terminated and any funds returned to you.
What Oak Capvern is not
Being clear about what we do not do is as important as describing what we do.
| Statement | Position |
|---|---|
| Personal investment advice | Not furnished. Provided materials, educational resources and market analysis are general-purpose only and do not consider your personal situation. |
| 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 promised. Past performance is not a reliable indicator of future results. |
| Discretionary portfolio management | We do not trade an account on a client's behalf at our own discretion. |
| Execution and account services | ✓ Provided, subject to verification, eligibility and the published terms. |
Investment capital faces potential loss. Asset values fluctuate both upward and downward and final returns may be less than initial investment. Please review the Risk Disclosure document before engaging with the service.
How to request corporate and compliance documents
Authorized clients, prospective clients and qualified institutional partners may obtain our regulatory and compliance records. These documents are supplied upon explicit request and are not publicly available.
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 process for handling grievances and the corresponding escalation pathway.
- Privacy statement relating to your own data subject rights.
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
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.
Regulatory and compliance questions
Inquiries regarding our regulatory standing, our compliance protocols, or concerns requiring elevated attention must be directed through the compliance channel and not to standard customer service.
How do I raise a compliance question?
Send it through the contact page and identify it as "Compliance". Supply the registered account email if applicable, and summarize your query in one to two sentences.
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.
What is the procedure for flagging questionable conduct or misappropriation of our intellectual property?
Use the report abuse page. Impersonation of Oak Capvern in messages, adverts or cloned sites should be reported there so we can act on it.
Are institutional business inquiries or media requests routed through this method?
Yes - send them through the contact page with a clear subject line and they will be routed to the right team.
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.
- 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?
For purposes of investigating or verifying the standing of Oak Capvern, please reach out to us directly. We prefer to furnish you with authentic records rather than have you depend on summaries.
Request the compliance pack
Corporate particulars, client agreement, AML summary and complaints procedure.
- Subject line required: "Regulatory documentation request".
- Directed to the authorized contact information maintained in our records.