Compliance & Regulation

tCapital operates under strict regulatory oversight

SEC Registered FINRA Member SIPC Protected

Regulatory Status

SEC Registered

Investment Adviser
Registration #: 801-12345

FINRA Member

Broker-Dealer
CRD #: 987654

SIPC Protected

Securities Protection
Up to $500,000

Compliance Framework

Our comprehensive compliance program includes:

Anti-Money Laundering (AML) procedures
Know Your Customer (KYC) verification
Best execution policies
Conflicts of interest management
Record keeping and reporting
Employee supervision and training
Cybersecurity and data protection

Regulatory Filings

Document	Description	Last Filed	View
Form ADV Part 2A	Investment Adviser Brochure	March 2024	Download
Form CRS	Customer Relationship Summary	March 2024	Download
Business Continuity Plan	Disaster Recovery Procedures	January 2024	Download

Audit & Oversight

Independent Auditor

Ernst & Young LLP
Annual financial statement audits
Internal controls testing

Regulatory Examinations

SEC examination cycle: 3-5 years
FINRA examinations: Annual
Last examination: June 2023

Complaint Resolution

We maintain formal procedures for handling customer complaints:

Complaints Coordinator: Mukund Krishnasamy, CCO

Email: complaints@tcapital.biz

Phone: +91 72001 89076

Response time: 48 hours for acknowledgment, 30 days for resolution

Dispute Resolution

Customer disputes may be resolved through FINRA's arbitration process. Information about FINRA arbitration is available at finra.org/arbitration-mediation.

Chief Compliance Officer: Mukund Krishnasamy

Email: compliance@tcapital.biz | Phone: +91 72001 89076