Chaperoning

See our Chaperoning Service announcement here

Download Chaperoning literature here

While the US market is filled with thousands of broker-dealers, only a handful are registered and legally approved to be “Chaperoning Brokers.”  Marco Polo Securities (MPS), a wholly-owned subsidiary of Marco Polo, stands out as a distinguished thought leader, well-respected, cost-effective chaperon offering. 

This is especially important, given the ever-changing and increasingly onerous regulatory landscape, because foreign brokers that solicit US based institutions can risk violating the rules that enable them to remain exempt from registration with the Securities and Exchange Commission (SEC) – more specifically SEC Rule 15a-6.

Our senior management team is comprised of a group of Wall Street veterans with over 60 years of collective experience in the emerging market space and direct involvement in designing the framework of Rule 15a-6. MPS is the expert in the regulatory and compliance nuances that are associated with the rules governing foreign brokers operating within the US.

The benefits of our chaperoning arrangement are clean and outlined below:


Furthermore, MPS maintains relationships with all the major institutions, buy-sides, quantitative and sell-side firms looking to participate in these new and prosperous economies. In addition to the traditional research environment, MPS provides its clients with the premier electronic trading infrastructure – including voice – enabling any new foreign broker with the tools for success.

Foreign Exchange
Fixed Income
Digital Currency
US Execution
Order Routing
Trading Solutions
Infrastructure Services
Connectivity
Consulting