Course: Technical Analysis Masterclass
Prepared by: AI Regulatory Compliance Auditor
Scope: Course Content
Business Model Assessed: Education & Business-to-Business (B2B) Services

Regulatory Frameworks Considered

• Financial Conduct Authority (FCA – UK)
• European Securities and Markets Authority (ESMA) / MiFID II
• Cyprus Securities and Exchange Commission (CySEC)
• Australian Securities and Investments Commission (ASIC)
• U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA)
• Monetary Authority of Singapore (MAS)
• Dubai Financial Services Authority (DFSA)
• Swiss Financial Market Supervisory Authority (FINMA)
• International consumer-protection and misrepresentation standards

Mandatory Contextual Instruction (Compliance Safeguard Recognition)

The Technical Analysis Masterclass includes a mandatory disclaimer video at the beginning of the programme. This disclaimer clearly states that the content is educational only, does not constitute financial or investment advice, does not provide personalised recommendations, highlights that trading involves risk, and confirms that learners remain fully responsible for their own decisions.

This disclaimer forms part of the standard course delivery framework and is treated as a programme-level compliance safeguard. Accordingly, the absence of repeated disclaimers within individual modules or lessons has not been considered a compliance failure, as no Course Content was found to contradict or undermine this framework.

Regulatory Scope

The Course Content was assessed against applicable financial, educational, advertising, and consumer-protection standards, including FCA Principles for Businesses, Financial Promotions rules, PERG guidance, and Consumer Duty; MiFID II and ESMA guidance on investor communications; CySEC marketing and client communication standards; ASIC regulatory guides on financial product advice and promotion; SEC and FINRA communications rules; MAS advertising guidelines; DFSA conduct-of-business requirements; FINMA investor communication standards; and relevant international consumer-protection norms.

1. Executive Summary

Overall compliance risk rating: Low

The Technical Analysis Masterclass demonstrates strong alignment with global regulatory expectations for education-only trading programmes. Programme-level disclaimer controls are clearly implemented and effectively reinforced through the structure, tone, and positioning of the Course Content.

The course is positioned as a professional skills-development and analytical methodology programme rather than a financial advisory or execution service. No material compliance weaknesses were identified.

2. Detailed Findings

A systematic review of the Course Content identified no material instances where the content could reasonably be interpreted as regulated financial or investment advice under applicable regulatory frameworks. Technical analysis concepts are presented descriptively and analytically, focusing on interpretation, context, and probability rather than instruction.

No trading recommendations, signals, inducements, or execution prompts were identified. Examples used throughout the course are illustrative and retrospective, consistent with accepted educational practice and regulatory guidance on training materials.

No performance claims, guarantees, or implied certainty of outcomes were identified. Language remains probabilistic and balanced, aligning with fair, clear, and not misleading communication standards.

No personalised guidance or tailoring to individual circumstances was observed. The Course Content consistently maintains a general, framework-based approach suitable for a broad educational audience.

As a result, no adverse findings are raised, and no issues were classified above a low-risk threshold.

3. Positive Compliance Observations

The mandatory programme-level disclaimer video is clearly positioned and comprehensive, providing a robust compliance anchor across all jurisdictions assessed.

The Course Content consistently maintains an educational, analytical, and non-promotional tone, with a strong emphasis on process, methodology, and disciplined decision-making.

A clear separation is maintained between education and execution. The course does not reference brokerage services, account opening, or trade execution mechanisms.

Language throughout the programme is measured, probabilistic, and aligned with professional education standards, supporting compliance with consumer-protection and misrepresentation requirements.

4. Actionable Recommendations

No mandatory remediation actions are required. As a precautionary enhancement, it is recommended that marketing summaries and partner-facing materials continue to reinforce the education-only positioning of the programme.

Where terms such as “professional,” “advanced,” or “institutional-grade” are used, they should consistently refer to analytical frameworks and learning outcomes rather than trading results or financial performance. These recommendations are preventative and do not reflect identified compliance breaches.

5. Jurisdictional Considerations

The Technical Analysis Masterclass is broadly suitable for cross-border deployment as an education-only product. However, regulatory interpretation may vary by jurisdiction, particularly in relation to local definitions of financial advice and promotion.

All partners, brokers, and distributors deploying the course on a white-label or B2B basis remain responsible for ensuring local regulatory alignment, licensing considerations, and compliant marketing practices within their respective jurisdictions.

Disclaimer

This compliance review is provided for informational and educational purposes only and does not constitute legal advice or a definitive regulatory determination. While the business model reviewed operates within an education and business-to-business context—which is generally not a regulated activity—regulatory interpretation may vary by jurisdiction.

All partners, distributors, and counterparties are responsible for conducting their own independent compliance and legal checks in accordance with the regulations applicable to their jurisdiction. Ultimate responsibility and liability for regulatory compliance rests with the partner or entity deploying or distributing the content.