Compliances
& Risk Control

Our Compliance Philosophy

Compliance, transparency, and security form the foundation of Lumixus Global Securities Ltd’s operations.
As a U.S.–registered securities and trading-infrastructure firm, Lumixus adheres to strict regulatory standards across the United States and Canada.

Regulatory qualifications include:

  • U.S. SEC Registration
  • FinCEN MSB Registration
  • FINRA oversight via partner clearing firms
  • DTCC & OCC Clearing Connectivity
  • Canada: CSA / OSC & FINTRAC Compliance Framework (in progress for licensing)
KYC (Know Your Customer)
  • Multi-layer identity verification (government ID, address proof, digital ID protocols)
  • Real-time global database screening
  • Enhanced Due Diligence (EDD) for high-risk profiles and cross-border clients
  • Continuous monitoring aligned with SEC, FINRA, and FINTRAC guidelines
AML / CFT (Anti–Money Laundering & Counter-Terrorist Financing)
  • Fully compliant with the U.S. Bank Secrecy Act (BSA) and Patriot Act
  • Registered under FinCEN MSB, adhering to BSA/AML reporting standards
  • Alignment with FATF and OFAC international sanctions requirements
  • Independent compliance reviews & continuous suspicious-transaction monitoring
  • Cross-border AML procedures integrated with Canadian FINTRAC standards
Risk Management Models
  • Lumixus AI Risk Engine™ for real-time trade surveillance, liquidity checks, and order-flow anomaly detection
  • Microsecond-level alerts powered by quantitative & macro-economic indicators
  • Tiered pre-trade, in-trade, and post-trade risk controls across all markets
  • Integrated cross-border clearing protection via DTCC, OCC, and CDS
  • Daily reconciliation, segregated custody, and SIPC-protected U.S. accounts

Lumixus Global Securities Ltd is a U.S.–registered and fully compliant securities and trading-infrastructure firm, licensed under the SEC and registered with FinCEN MSB.

Headquartered in Denver, Colorado, with a fully owned Canadian subsidiary in Ottawa, Ontario, Lumixus provides regulated market access, liquidity, clearing, and API/FIX connectivity across U.S. and Canadian markets.

We serve retail clients, quantitative funds, institutions, and broker-dealer partners with transparent, compliant, and technology-driven trading solutions.

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Contact Us

  • U.S. Headquarters:
    One Tabor Center 1200 17th Street Denver, Colorado, USA
  • Canada Office:
    ONE60 Elgin 160 Elgin Street Ottawa, Ontario K2P 2P7, Canada
  • info@lumixus.com
  • www.lumixus.com

Regulatory Compliance Notice

Lumixus Global Securities Ltd (“Lumixus”, “we”, “us”) is committed to maintaining robust regulatory, anti-money laundering (AML), and counter-terrorist financing (CTF) compliance programs consistent with U.S. and Canadian legal standards.

SEC & FINCEN Compliance

  • Lumixus is licensed and operates under the jurisdiction of the U.S. Securities and Exchange Commission (SEC) and complies with applicable U.S. securities laws, rules, and reporting obligations.

  • Lumixus is registered with the Financial Crimes Enforcement Network (FinCEN) as an MSB and adheres to AML/CTF regulations under the Bank Secrecy Act (BSA), including customer identification, transaction monitoring, and suspicious activity reporting.

  • We maintain client-fund segregation, operational transparency, and full compliance with clearing requirements under DTCC and OCC frameworks.

Canadian Compliance

  • Lumixus Canada Securities Ltd complies with AML/CTF laws administered by FINTRAC and operates under regulatory standards set by CSA and OSC.

  • Client funds are safeguarded under CDS clearing frameworks and protected through segregated custody requirements.

Cross-Border Regulatory Cooperation

  • We cooperate with relevant regulatory authorities in the U.S. and Canada and provide required reporting in accordance with applicable securities and AML regulations.

  • Lumixus may be subject to audits, information requests, or reporting obligations as required under federal, state, or provincial law.

Legal Reservation

Lumixus reserves the right to amend this statement at any time to reflect changes in regulations, compliance requirements, or operational obligations.
 Clients and website users are encouraged to review this statement periodically.

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