INFORMATION BY JURISDICTION
Legal & Regulatory Information
Understand the information to review before engaging a financial services provider in the United States, United Kingdom, France or Switzerland.
PLEASE READ FIRST
Know the entity.
Understand the service.
This page provides general regulatory resources. It does not confirm that Atlas holds any licence, registration or regulatory permission in the jurisdictions listed, and links to official bodies do not imply their endorsement.
Before entering an engagement, obtain the full legal name of the contracting entity, its registered address, the precise services offered and any applicable registration or exemption details. Check these against the relevant official records. A brand name or office location alone does not establish regulatory status.
Regulatory requirements depend on the entity, activity, client and jurisdiction. These resources are not a substitute for entity-specific disclosures or legal advice.
01 · UNITED STATES
Investment adviser disclosures
The SEC’s Investment Adviser Public Disclosure database (IAPD) provides filings and registration information for investment advisers. It also includes certain exempt reporting advisers; appearing in a search result should not be treated, by itself, as confirmation of SEC registration.
What to review
- The firm’s exact legal name, CRD/SEC identifiers and current registration status.
- Form ADV, including the disclosure brochure, where applicable.
- The services covered by the engagement, fees, conflicts of interest and the identity of any custodian.
02 · UNITED KINGDOM
Authorisation and permissions
The Financial Conduct Authority’s Firm Checker helps consumers check whether a firm is authorised and has permission for the services they need. The Financial Services Register provides additional information, including information relevant to professional services and restrictions.
What to review
- The legal entity name, firm reference number and current status.
- The permissions and restrictions relevant to the proposed service.
- Official contact details, to help distinguish the genuine firm from an impersonator.
- The applicable complaints process and any eligibility for external dispute resolution or compensation; do not assume coverage.
03 · FRANCE
Check the relevant professional status
The relevant register depends on the service. The AMF directs investors to REGAFI for investment services providers such as banks and brokers, and to ORIAS for conseillers en investissements financiers (CIF). An entry in one category should not be interpreted as permission to provide every financial service.
What to review
- The provider’s legal name and the category under which it is registered.
- The relevant registration number and the activities covered.
- For a CIF, its membership of an AMF-approved professional association.
- The engagement terms, fees, conflicts and applicable complaints arrangements.
04 · SWITZERLAND
Licensing and supervision
FINMA publishes lists of authorised institutions. Portfolio managers and trustees carrying out their activities on a commercial basis require FINMA authorisation under the applicable Swiss framework. Ongoing supervision is generally performed by a supervisory organisation; certain domestic group companies are supervised directly by FINMA.
What to review
- The entity’s full legal name and the relevant FINMA authorisation category.
- The supervisory organisation or direct supervision arrangement, as applicable.
- The precise scope of the mandate, custody arrangements, fees and conflicts.
- Any applicable ombudsman affiliation and the entity’s complaints procedure.
GENERAL INFORMATION
Using this website
Educational content
Articles and general descriptions on this website are for information. They do not take account of your individual financial, legal or tax circumstances and should not be relied on as a personal recommendation or an offer to buy or sell an investment.
Investment risk
Investments can lose value, and you may receive less than you invest. Past performance does not guarantee future results. The risks of a particular service or investment should be considered through its own documentation.
Cross-border services
Access to this website does not establish eligibility for any service in a particular country. Confirm the contracting entity and applicable local requirements before proceeding.
External resources
Official registers and guidance can change. Follow the links above for current information and verify that the details match the entity you intend to engage.
Page updated: 29 September 2026.