FAIS Disclosure

1. INTRODUCTION

1.1

In accordance with section 4 of the General Code of Conduct under FAIS, this
Disclosure Document is provided by TX3 MARKETS GLOBAL (PTY) LTD, a private
company incorporated in the Republic of South Africa under registration number
2022/526513/07 and duly licensed as an authorised Financial Services Provider by the
Financial Sector Conduct Authority (“FSCA”) under licence number 53180.

1.2

This Disclosure Document applies exclusively to the intermediary services rendered by
TX3 MARKETS GLOBAL (PTY) LTD under its South African licence. It does not extend to
the services of TX3 MARKETS GLOBAL LTD, incorporated in Saint Lucia, which is a
separate legal entity responsible for client onboarding, trading execution, custody of
funds, and account maintenance.

1.3

Clients are reminded that while TX3 MARKETS GLOBAL (PTY) LTD provides financial
intermediation to South African residents, all trading relationships are contractually
entered into with TX3 MARKETS GLOBAL LTD under the laws of Saint Lucia.

2. FINANCIAL SERVICE PROVIDER, PRODUCTS AND CONTACT DETAILS

The FSCA has duly authorised TX3 MARKETS GLOBAL (PTY) LTD to render financial
services as defined in terms of the FAIS Act in respect of the following financial
products:

Physical and Postal Address:
NORWICH PLACE WEST 2ND FLOOR, CNR 5TH AND NORWICH, SANDOWN
SANDTON, GAUTENG, 2196
Licence Number:
53180
Legal Status:
Private Company (Pty) Ltd

4. EXEMPTIONS

TX3 MARKETS GLOBAL (PTY) LTD confirms that it has not been granted any exemptions
under the FAIS Act. The Company operates fully within the statutory framework
established under South African law and complies with all obligations imposed on
licensed intermediaries.

5. PRODUCT SUPPLIERS

TX3 MARKETS GLOBAL (PTY) LTD markets financial products of multiple product
suppliers. These suppliers are subject to due diligence assessments to ensure that the
products meet the standards of quality, reliability, and compliance required under
South African regulation.
For clarity, TX3 MARKETS GLOBAL (PTY) LTD does not act as a product supplier itself. All
client account services, trading execution, and custody of funds are conducted by TX3
MARKETS GLOBAL LTD, which is a distinct legal entity subject to the laws of Saint Lucia.

6. CONFLICT OF INTEREST MANAGEMENT

6.1 TX3 MARKETS GLOBAL (PTY) LTD has adopted a Conflict of Interest Management Policy
in accordance with the FAIS Act.

6.2 The purpose of this Policy is to identify, manage, and mitigate potential conflicts of
interest that may arise during the provision of intermediary services. The Policy ensures
that the interests of clients remain paramount and that all representatives act with
transparency, fairness, and integrity.

6.3 A full copy of the Policy is accessible on the Company’s website at
https://www.tx3markets.com/

7. INDEMNITY COVER

7.1 TX3 MARKETS GLOBAL (Pty) Ltd maintains professional indemnity and fidelity insurance
cover in compliance with FSCA requirements.
i. Professional Indemnity Insurance protects against claims of negligence, errors,
or omissions in the course of providing regulated services.

ii. Fidelity Insurance covers losses caused by fraudulent or dishonest acts by
employees or third parties.

7.2 This coverage is evidence of the Company’s commitment to safeguarding both its own
operations and the interests of its clients.

8. COMPLAINTS

8.1 Complaints in respect of intermediary services rendered by TX3 MARKETS GLOBAL (PTY)
LTD may be submitted in writing to: juan@tx3markets.com

8.2 If a complaint cannot be resolved internally, the client may escalate the matter to the
FAIS Ombud, whose contact details are:

8.3

i. Telephone: 0860 324 766

ii. Email: info@faisombud.co.za

The Ombud’s jurisdiction is limited to complaints concerning services rendered under
the FSCA licence of TX3 MARKETS GLOBAL (PTY) LTD. Complaints concerning trading
accounts, deposits, withdrawals, or execution must be directed to TX3 MARKETS
GLOBAL LTD under the applicable jurisdiction.

9. FINANCIAL INTELLIGENCE CENTRE ACT (“FICA”) OBLIGATIONS

9.1 TX3 MARKETS GLOBAL (PTY) LTD is classified as an accountable institution under the
Financial Intelligence Centre Act, 38 of 2001 (“FICA”).

9.2 As such, the Company is required to:
i. Conduct client identification and verification measures in respect of its
intermediary services;

ii. Maintain proper records of all documentation collected;

iii. Monitor for suspicious or unusual transactions and submit reports to the
Financial Intelligence Centre where necessary.

9.3 Clients acknowledge that additional onboarding, identification, and verification
procedures are conducted separately by TX3 MARKETS GLOBAL LTD under its local
laws.

10. DISCLAIMER

The purchase and sale of financial products carry inherent risks. Past performance is
not necessarily indicative of future results, and the value of investments may rise or fall
depending on market conditions.

‍
Clients must carefully assess their investment objectives, financial position, and risk
tolerance before engaging in any transaction. Where appropriate, clients are
encouraged to seek independent financial advice.

11. CLIENT ACKNOWLEDGMENT

By continuing the business relationship with the Company, the client confirms that they
have read, understood, and accepted the contents of this FAIS Disclosure Document
and that they are aware of the distinction between the intermediary services provided
by TX3 MARKETS GLOBAL (PTY) LTD under South African law and the trading services
provided by TX3 MARKETS GLOBAL LTD under Saint Lucian law.