Compliance & Regulation
Target Capital operates under strict regulatory oversight
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
Complaint Resolution
We maintain formal procedures for handling customer complaints:
Complaints Coordinator: Mukund Krishnasamy, CCO
Email: complaints@targetcapital.ai
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@targetcapital.ai | Phone: +91 72001 89076