National Supervisory Authority & Licensing Qualification Dossier • Asia-Pacific
Financial Conduct Authority
Global Jurisdiction- Supervisory tier
- Tier-2
- License classes
- 2
- Licensed records
- 136
- Active / regulated
- 127
Statutory Supervisory Mandate & Scope
Financial Conduct Authority (Financial Conduct Authority) authorises and supervises securities broker-dealers, derivatives intermediaries, asset managers, collective investment schemes, and market infrastructure in Global Jurisdiction.
Prudential Tier Assessment
Tier-2Tier-2 national capital markets, securities, and derivatives supervisory authority in Global Jurisdiction, IOSCO member standards-aligned.
National licensing qualifications & statutory authorisation classes (Financial Conduct Authority)
Authorisation categories, permitted institutional and retail activities, minimum initial capital adequacy, and ongoing prudential solvency rules enforced by Financial Conduct Authority in Global Jurisdiction.
| License class / code | Official designation | Permitted institutional & retail activities | Minimum initial / base capital | Ongoing prudential & solvency rule |
|---|---|---|---|---|
| Category 1 / Principal Broker-Dealer | Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) | Dealing as principal or market maker in securities, FX, CFDs, futures, options, and underwriting. | USD $150,000 – $500,000 equivalent minimum paid-up capital | Risk-weighted capital adequacy + minimum liquid capital buffer ≥ 25% of annual fixed overheads. |
| Category 2 / Agency Broker & Asset Manager | Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence | Order execution, reception and transmission of client orders, discretionary portfolio management, and investment advisory. | USD $75,000 – $150,000 equivalent minimum paid-up capital | Strict client money segregation, best-execution monitoring, and quarterly regulatory financial returns. |
Investor compensation, client money segregation & digital-asset regime
Statutory counterparty protections, custody reconciliation mandates, and virtual-asset licensing status under Financial Conduct Authority.
National Investor Protection / Compensation Scheme (Global Jurisdiction)
- Maximum coverage per client
- Subject to statutory national investor protection fund limits and segregated trust priority
- Eligible counterparties & scope
- Retail clients of licensed securities and investment brokerage firms.
Financial Conduct Authority Client Money & Safe Custody Segregation Rules
- Reconciliation & audit cadence
- Daily reconciliation of segregated client trust bank accounts against client trading ledger balances.
- Approved custodian requirements
- Client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories.
Financial Conduct Authority Digital Asset / Tokenized Securities & VASP Regulatory Framework
- Travel Rule, custody & stablecoin rules
- FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
Primary Governing Statutes & Rulebooks
- Securities and Capital Markets Act of Global Jurisdiction
- Financial Conduct Authority Licensing, Prudential Capital Adequacy & Conduct of Business Rules
- Client Money & Custody Asset Segregation Regulations (Global Jurisdiction)
- IOSCO Principles of Securities Regulation & National AML/CFT Rulebook
Regulatory Reporting & Audit Obligations
Quarterly capital adequacy returns and annual IFRS audited financial statements submitted to Financial Conduct AuthorityAnnual independent auditor attestation on Client Money and Safe Custody complianceTransaction reporting, market abuse surveillance (MAR), and AML/CFT suspicious activity reporting
Cross-Border Equivalence & Passporting
Operates under Global Jurisdiction national jurisdiction and IOSCO MMoU cross-border supervisory cooperation.
Supervised institutions & Financial Conduct Authority licence records in our database
136 licence records referencing Financial Conduct Authority (127 regulated/registered, 9 flagged with warnings/revocations).
| Institution | Licence number | Status | Licensed legal entity | Effective date | Verification |
|---|---|---|---|---|---|
| Forex(Global network record) | 446717 | Regulated | StoneX Financial Ltd | 2006-03-24 | |
| ONEUEX(Global network record) | PPON: PRVJ-4737-DDGD | Registered | ONEUEX GLOBAL DIGITAL EXCHANGE | 2026-10-22 | |
| OANDA(Global network record) | 542574 | Regulated | OANDA Europe Limited | 2011-05-17 | |
| Coinbase(Global network record) | 900635 | Regulated | CB Payments Ltd | 2018-07-12 | |
| IB(Global network record) | 208159 | Regulated | Interactive Brokers (UK) Ltd | 2002-02-06 | |
| HFM(Global network record) | 801701 | Regulated | HF Markets (UK) Limited | 2018-11-14 | |
| IG(Global network record) | 195355 | Regulated | IG Markets Limited | 2001-12-01 | |
| LMAX Group(Global network record) | 783200 | Regulated | 783200 | 2017-12-15 | |
| TeraFX(Global network record) | 564741 | Regulated | Tera Europe Limited | 2012-05-30 | |
| Exness(Global network record) | 730729 | Regulated | Exness (UK) Ltd | 2016-09-01 | |
| FxPro(Global network record) | 509956 | Regulated | FXPRO UK Limited | 2010-09-10 | |
| Acetop(Global network record) | 767154 | Regulated | Acetop Financial Limited | 2017-09-11 | |
| CMCMarkets(Global network record) | 173730 | Regulated | CMC Markets UK plc | 2001-12-01 | |
| CMCMarkets(Global network record) | 170627 | Regulated | CMC Spreadbet Plc | 2001-12-01 | |
| Saxo(Global network record) | 551422 | Regulated | Saxo Capital Markets UK Limited | 2011-10-05 | |
| Doo Prime(Global network record) | 833414 | Regulated | DOO Clearing Limited | 2019-06-17 | |
| Pepperstone(Global network record) | 684312 | Regulated | Pepperstone Limited | 2015-08-05 | |
| ThinkMarkets(Global network record) | 629628 | Regulated | TF Global Markets (UK) Limited | 2015-01-23 | |
| EightCap(Global network record) | 921296 | Regulated | Eightcap Group Ltd | 2020-12-23 | |
| FXCM(Global network record) | 217689 | Regulated | Stratos Markets Limited | 2003-05-27 | |
| ICM(Global network record) | 520965 | Revoked | ICM Capital Limited | 2010-11-08 | |
| Tickmill(Global network record) | 717270 | Regulated | Tickmill UK LTD | 2016-07-29 | |
| CFI International Ltd(Global network record) | 828955 | Regulated | Credit Financier Invest Limited | 2019-10-14 | |
| DBG Markets(Global network record) | 469459 | Registered | DBG MARKETS (UK) LLP | 2007-10-01 | |
| FXTM(Global network record) | 777911 | Regulated | Exinity UK Ltd | 2018-02-01 | |
| HTFX(Global network record) | 822279 | Regulated | HTFX Limited | 2019-03-25 | |
| PRCBroker(Global network record) | 731259 | Revoked | Performance Ronnaru Company Limited | 2016-01-08 | |
| XTB(Global network record) | 522157 | Regulated | XTB Limited | 2011-01-17 | |
| ADSS(Global network record) | 577453 | Regulated | ADS SECURITIES LONDON LIMITED | 2012-07-24 | |
| CWG(Global network record) | 785129 | Regulated | CWG Markets Ltd | 2018-07-02 | |
| CXM Trading(Global network record) | 612233 | Regulated | ALCHEMY PRIME LIMITED | 2014-08-05 | |
| Direct TT(Global network record) | 795892 | Suspected clone | Direct Trading Technologies UK Ltd | 2018-09-18 | |
| Hirose Financial(Global network record) | 540244 | Regulated | Hirose Financial UK Limited | 2011-07-01 | |
| Taurex(Global network record) | 816055 | Regulated | Zenfinex Limited | 2019-03-11 | |
| InterTrader(Global network record) | 597312 | Regulated | Alvar Financial Services Limited | 2013-03-18 | |
| ITI Capital(Global network record) | 171487 | Regulated | ITI Capital Limited | 2001-12-01 | |
| Spreadco(Global network record) | 446677 | Regulated | Spread Co Limited | 2006-10-06 | |
| HYCM(Global network record) | 186171 | Regulated | HYCM CAPITAL MARKETS (UK) LIMITED | 2001-12-01 | |
| Hantec Markets Australia(Global network record) | 502635 | Regulated | Hantec Markets Limited | 2010-06-16 | |
| Blackwell Global(Global network record) | 687576 | Regulated | Blackwell Global Investments (UK) Limited | 2016-02-01 | |
| BRITANNIA(Global network record) | 739949 | Regulated | BRITANNIA GLOBAL INVESTMENTS LIMITED | 2017-01-02 | |
| Admiral Markets(Global network record) | 595450 | Regulated | Admiral Markets UK Ltd | 2013-06-12 | |
| Trade Nation(Global network record) | 525164 | Regulated | TRADE NATION FINANCIAL UK LTD | 2011-05-09 | |
| Plus500(Global network record) | 509909 | Regulated | Plus500UK Ltd | 2010-06-29 | |
| Equiti(Global network record) | Not supplied | Regulated | Equiti Capital UK Limited | — | |
| Fortrade(Global network record) | 609970 | Regulated | Fortrade Limited | 2014-04-17 | |
| ATFX(Global network record) | 760555 | Regulated | AT Global Markets (UK) Limited | 2017-07-11 | |
| Vantage(Global network record) | 590299 | Regulated | Vantage Global Prime LLP | 2013-07-01 | |
| XTX Markets(Global network record) | 949967 | Regulated | XTX Markets Trading Limited | 2021-10-19 | |
| XTX Markets(Global network record) | 711945 | Regulated | XTX Markets Limited | 2016-07-04 | |
| ATC Brokers(Global network record) | 591361 | Regulated | ATC Brokers | — | |
| CPT Markets(Global network record) | 606110 | Exceeded scope | CPT MARKETS UK LIMITED | 2014-07-31 | |
| FXOpen(Global network record) | 579202 | Regulated | FXOpen Ltd | 2013-03-22 | |
| TRADE.COM(Global network record) | 738538 | Suspected clone | Trade Capital UK (TCUK) Ltd | 2017-01-17 | |
| XNT LTD(Global network record) | 789421 | Regulated | LHCM LTD | 2018-09-29 | |
| BUX(Global network record) | 184333 | Regulated | APM Capital Markets Limited | — | |
| GMI(Global network record) | 677530 | Regulated | Global Market Index Limited | 2015-11-23 | |
| KEY TO MARKETS(Global network record) | 527809 | Revoked | Key To Markets Limited | 2010-11-15 | |
| Noor Capital UK(Global network record) | 631382 | Regulated | House of Borse Ltd | 2015-03-09 | |
| One Financial Markets(Global network record) | 466201 | Regulated | Axi Financial Services (UK) Limited | 2007-08-16 | |
| Trading(Global network record) | 705428 | Regulated | Trading Point of Financial Instruments UK Limited | 2016-05-03 | |
| Trading212 · Trading 212(Global network record) | 609146 | Regulated | Trading 212 UK Limited | 2014-10-01 | |
| Valutrades(Global network record) | 586541 | Regulated | Valutrades Limited | 2013-04-03 | |
| BP Prime(Global network record) | 688456 | Regulated | Black Pearl Securities Limited | 2015-10-22 | |
| BP PRIME(Global network record) | 688456 | Regulated | Black Pearl | 2015-10-22 | |
| City Index(Global network record) | 446717 | Regulated | StoneX Financial Ltd | 2006-03-24 | |
| Darwinex(Global network record) | 586466 | Regulated | Tradeslide Trading Tech Limited | 2013-07-15 | |
| GC Capital(Global network record) | 564741 | Regulated | Gildencrest Capital Limited | 2012-05-30 | |
| LHCM(Global network record) | 789421 | Regulated | LHCM LTD | 2018-08-29 | |
| Maxis investments(Global network record) | 441316 | Regulated | Maxis Investments Ltd | 2006-06-09 | |
| OGM(Global network record) | 769481 | Regulated | One Global Market Limited | 2017-10-05 | |
| Spreadex(Global network record) | 190941 | Regulated | preadex Limited | 2001-12-01 | |
| TIO Markets(Global network record) | 488900 | Regulated | TIO Markets UK Limited | 2009-08-26 | |
| UKCH(Global network record) | 595713 | Regulated | UK Clearing House Limited | 2014-01-02 | |
| VIEXS(Global network record) | 923324 | Regulated | Vision Integrated Exchange LTD | 2021-02-11 | |
| YCM Invest(Global network record) | 470392 | Regulated | YCM-Invest Ltd | 2007-11-08 | |
| Amana Capital(Global network record) | 605070 | Regulated | Amana Financial Services UK Limited | 2014-04-01 | |
| Checkout(Global network record) | 900816 | Regulated | CheckOut | 2018-2-20 | |
| Delta(Global network record) | 523775 | Regulated | Etoro (Europe) Limited | 2023-03-03 | |
| StoneX One(Global network record) | 446717 | Regulated | StoneX Financial Ltd | 2010 |
Financial Conduct Authority (Global Jurisdiction): institutional licensing & due diligence FAQ
Key statutory capital, compensation, custody segregation, and verification answers for compliance teams.
What are the primary licensing classes and minimum capital requirements under Financial Conduct Authority (Global Jurisdiction)?
Financial Conduct Authority (Financial Conduct Authority) supervises financial institutions in Global Jurisdiction under Securities and Capital Markets Act of Global Jurisdiction and Financial Conduct Authority Licensing, Prudential Capital Adequacy & Conduct of Business Rules. Key statutory authorisation classes include: Category 1 / Principal Broker-Dealer (Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) — min. capital: USD $150,000 – $500,000 equivalent minimum paid-up capital); Category 2 / Agency Broker & Asset Manager (Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence — min. capital: USD $75,000 – $150,000 equivalent minimum paid-up capital). Ongoing prudential supervision requires strict adherence to capital adequacy and liquidity buffers.
Does Financial Conduct Authority provide statutory investor compensation and mandatory client asset segregation?
Under Financial Conduct Authority's framework, investor protection is governed by National Investor Protection / Compensation Scheme (Global Jurisdiction) with maximum coverage of Subject to statutory national investor protection fund limits and segregated trust priority (Retail clients of licensed securities and investment brokerage firms.). For client money and custody assets, supervised firms must comply with Financial Conduct Authority Client Money & Safe Custody Segregation Rules, performing daily reconciliation of segregated client trust bank accounts against client trading ledger balances. with client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories..
How does Financial Conduct Authority regulate digital assets, crypto exchanges (VASPs/CASPs), and stablecoins?
Financial Conduct Authority's digital-asset regime is structured around Financial Conduct Authority Digital Asset / Tokenized Securities & VASP Regulatory Framework (Regulates security tokens, crypto derivatives, and licensed digital asset intermediaries in Global Jurisdiction.). Custody and AML/CFT compliance obligations require: FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
How can I verify an institution's Financial Conduct Authority licence number and check our 136 recorded licence entries?
Our database currently tracks 136 licence records referencing Financial Conduct Authority (127 marked regulated or registered). To verify a counterparty at the primary source, open Financial Conduct Authority's official public register (https://register.fca.org.uk/), search by the exact reference number and legal entity name, and confirm that the firm's domain and permitted activities match its statutory authorisation.
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Statutory licensing classes, base capital rules, and investor protection summaries for Financial Conduct Authority (Global Jurisdiction) are maintained for institutional benchmarking and do not constitute legal advice. Always verify current rulebooks and active firm authorisations directly on Financial Conduct Authority’s official public register.