Market Regulations

United Kingdom — Financial Conduct Authority (FCA)

Era Finances Capital Management is authorised and regulated by the Financial Conduct Authority (FCA). The FCA's regulatory framework is set out in the Financial Services and Markets Act 2000 (FSMA) and the FCA Handbook, including COBS, the SM&CR, and MiFID II as onshored into UK law.

As an FCA-authorised firm, Era Finances Capital Management is subject to requirements relating to client categorisation, suitability, best execution, conflicts of interest, remuneration, and capital adequacy.

Hong Kong — Securities and Futures Commission (SFC)

Era Finances (Hong Kong) Limited is licensed by the SFC under the Securities and Futures Ordinance (SFO) to carry on Type 1 (Dealing in Securities) and Type 9 (Asset Management) regulated activities.

The entity is also subject to the Hong Kong Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO) and the Personal Data (Privacy) Ordinance (PDPO).

Luxembourg — Commission de Surveillance du Secteur Financier (CSSF)

Era Finances Private Investment is supervised by the CSSF. The entity operates as an Alternative Investment Fund Manager (AIFM) under the Luxembourg Law implementing the EU AIFMD.

The entity benefits from the AIFMD marketing passport, enabling it to market its funds to professional investors across the EEA.

Switzerland — Swiss Financial Market Supervisory Authority (FINMA)

Era Finances Family Office Services is supervised by FINMA. The entity operates as an independent asset manager under the Swiss Financial Institutions Act (FinIA) and is subject to the Swiss Financial Services Act (FinSA).

The entity is also subject to the Swiss Anti-Money Laundering Act (AMLA) and the revised Swiss Data Protection Act (nDSG).

Cayman Islands — Cayman Islands Monetary Authority (CIMA)

Era Finances Trading Strategies is registered with CIMA as a registered mutual fund under the Mutual Funds Act.

The entity is subject to the Cayman Islands Proceeds of Crime Act, the Anti-Money Laundering Regulations, and the CIMA Guidance Notes.

Market Abuse and Insider Dealing

Era Finances Group maintains a Market Abuse Policy that applies across all operating entities. This policy prohibits insider dealing, market manipulation, and the unlawful disclosure of inside information in all jurisdictions.

Cross-Border Services

Where Era Finances Group provides services on a cross-border basis, it does so in compliance with the applicable regulatory requirements of both the home jurisdiction of the relevant entity and the host jurisdiction of the client.