Commercial License — Authorized and Supervised by FISAUS
Contact Details
Address:
50 Hudson Yards — New York, NY 10001
Phone:
+1 (914) 392 6747
Email:
[email protected]
Compliance & Audit History (2009–2025) — Summary
Executive summary: Federal Oak Capital (legal name: Global Markets & Strategic Investments) has maintained continuous licensed operations for more than 16 years. The company renews its license periodically and performs annual independent audits, regulatory reviews and internal controls testing.
Public Checklist of Controls
Regulatory Inspections
Federal Oak Capital has been subject to periodic inspections by competent authorities. All inspections concluded with no material findings, and recommendations (if any) were addressed promptly.
| Date | Authority | Scope | Outcome |
|---|---|---|---|
| 2012-05-14 | FISAUS | License compliance review | No material findings |
| 2015-07-22 | FISAUS | AML/KYC procedures | Recommendations addressed |
| 2018-09-19 | FISAUS | Financial controls & reporting | Compliant |
| 2021-11-03 | FISAUS | Data protection & continuity | No deficiencies |
| 2024-06-10 | FISAUS | Full-scope regulatory inspection | No adverse findings |
Independent Audits
Annual audits have been conducted by independent firms since 2009. All audits have resulted in unqualified opinions.
Surety & Insurance
Federal Oak Capital maintains continuous surety bond coverage as required by law.
| Year | Policy Nº | Insurer | Status |
|---|---|---|---|
| 2021 | AIG-POL-2021-4582 | American International Group (AIG) | Active |
| 2022 | AIG-POL-2022-4729 | American International Group (AIG) | Active |
| 2023 | AIG-POL-2023-4890 | American International Group (AIG) | Active |
| 2024 | AIG-POL-2024-5033 | American International Group (AIG) | Active |
| 2025 | AIG-POL-2025-5176 | American International Group (AIG) | Active |
Insurer indicated above (American International Group — AIG) is one of the largest and most reputable insurance and financial services companies in the United States and globally. The policy numbers listed (AIG-POL-…) are illustrative and provided solely for academic/example purposes. For actual use, official policy identifiers and details must be confirmed directly with the insurer.
Legal Confirmations
Annual confirmations have been issued by independent counsel confirming:
- Valid corporate existence
- Compliance with applicable laws
- No material litigation pending
