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AB Capital Securities, Inc., was accorded the prestigious citation for "FULL COMPLIANCE" for SIXTEEN consecutive years (1999-2014).  The significance / benefit of this citation for the investors / customers are as follows:

  • The books and records of AB Capital Securities, Inc., are properly maintained and therefore provide up to date, accurate and prompt reports.  AB Capital Securities, Inc., has safeguard mechanisms in place to protect the assets of the customers / investors.

  • AB Capital Securities, Inc., strictly adheres to sales and trading rules.  We have qualified dealers / traders who passed the licensure exams and conduct themselves in a very professional manner in their business dealings.  Safeguard mechanisms are in place to ascertain that customers / investors are treated fairly and that reasonable diligence is being exercised to ascertain that transactions are executed in the best interest of the customers / investors.

  • AB Capital Securities, Inc., adheres to strict financial resource requirements prescribed by applicable rules, which signify that the Company is financially sound and has an effective risk management system in place.

 

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