Protection and confidence in financial management

Regulatory information

Mora Capital Management’s and Mora Capital Securities’ business in the United States is based on ensuring transparency, regulatory compliance and client protection in all financial advice services.

Transparency and compliance form the basis of our service

We operate in the United States under the regulatory frameworks that apply to financial advice and investment brokerage. These agencies set standards to protect investors, ensure transparency and guarantee responsible professional practices.

Compliance with US financial regulations.
Supervised by specialized regulatory agencies.
Constant commitment to transparency and risk control.

Registered with the Securities and Exchange Commission (SEC)

The Securities and Exchange Commission (SEC) is an independent federal agency that protects investors, maintains fair and orderly markets, and facilitates capital formation and regulates broker dealers and investment advisors.

Compliance with FINRA standards

Mora Capital Securities’ primary regulator (SRO) is FINRA, which sets standards for professional conduct, operational supervision and best practices in the financial industry. Compliance with these standards enhances client confidence and ensures that services are provided under strict criteria of professional ethics and responsibility.

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