Institution record
GAIN
GAIN Capital
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (firms authorised in the uk, ireland and gibraltar) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
FINRATier-1 Financial Industry Regulatory Authority | Number pending check | Regulated | GAIN Capital | — |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing GAIN against peer institutions in our firms authorised in the uk, ireland and gibraltar dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| GAIN (this record) | FINRA | 1 / 1 | Risk level not supplied | — | 0 |
| eToro | FCAGFSCFSA+5 | 6 / 8 | Risk level not supplied | — | 0 |
| XTX | FCAFCASEC+1 | 4 / 4 | Risk level not supplied | — | 0 |
| Doo Prime | FCAFINRAFSA+4 | 7 / 7 | Risk level not supplied | — | 1 |
| Coinbase | CBIFCACBI+6 | 9 / 9 | Risk level not supplied | — | 1 |
| Kraken | CBICBIFCA+2 | 5 / 5 | Risk level not supplied | — | 0 |
GAIN: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is GAIN's regulatory licence status and supervisory authorisation?
In our imported dataset, GAIN (legal entity reference: GAIN Capital) holds 1 recorded licence entry, of which 1 carries a "regulated" status and 1 are marked regulated or registered: FINRA (Financial Industry Regulatory Authority) — licence Number pending check, status: regulated, Tier-1. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official FINRA public register.
Which of GAIN's jurisdictions and licences fall within this site's regulatory coverage?
GAIN is tracked under our firms authorised in the uk, ireland and gibraltar coverage scope based on its institutional service profile (CFDs, Precious metals, Stock indices, Forex) rather than a domestic focus licence. Its 1 recorded licence (FINRA) should be evaluated for cross-border passporting and local solicitation rules.
What is GAIN's institutional risk classification, enforcement exposure, and score profile?
GAIN carries a "risk level not supplied" classification in the source dataset (composite numeric scores are not supplied for this record). The record flags 0 regulatory warning or complaint counts. Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to GAIN's platforms, entity structure, and complaints?
Before allocating capital or executing trades with GAIN, institutional and retail allocators should: (1) confirm the domain (gaincapital.com) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to FINRA.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from QuantCalc Tools relevant to GAIN's supervisory scope.
Risk-Adjusted Performance Benchmarks
Omega Ratio & Calmar Maximum Drawdown Recovery Engine: Closed-Form Mathematical Specification & IEEE-754 Verification (1.48x Gain-Loss Threshold Ratio Benchmark)
Omega Ratio & Calmar Maximum Drawdown Recovery Engine (OMEGA-CALMAR) stands at 1.48x (Gain-Loss Threshold Ratio) (Source: Quantitative Risk Consortium, 2026-10-20), governing exact floating-point precision, day-count con
Quantitative Pricing & Options Engines
Omega Ratio & Calmar Maximum Drawdown Recovery Engine: Worked $100M Institutional Portfolio Verification Example (1.48x Gain-Loss Threshold Ratio Benchmark)
Omega Ratio & Calmar Maximum Drawdown Recovery Engine (OMEGA-CALMAR) stands at 1.48x (Gain-Loss Threshold Ratio) (Source: Quantitative Risk Consortium, 2026-10-20), governing step-by-step cash flow, margin, and basis-poi
Fixed Income Duration & Portfolio Risk
Omega Ratio & Calmar Maximum Drawdown Recovery Engine: Observation Shift vs. Lookback Convention Comparison (1.48x Gain-Loss Threshold Ratio Benchmark)
Omega Ratio & Calmar Maximum Drawdown Recovery Engine (OMEGA-CALMAR) stands at 1.48x (Gain-Loss Threshold Ratio) (Source: Quantitative Risk Consortium, 2026-10-20), governing accrual period weighting differences and sett
Cleared Margin & VaR Models
Omega Ratio & Calmar Maximum Drawdown Recovery Engine: Historical Stress Testing & Tail-Risk Scenario Calibration (1.48x Gain-Loss Threshold Ratio Benchmark)
Omega Ratio & Calmar Maximum Drawdown Recovery Engine (OMEGA-CALMAR) stands at 1.48x (Gain-Loss Threshold Ratio) (Source: Quantitative Risk Consortium, 2026-10-20), governing 2008 Lehman, 2020 Dash-for-Cash, and 2026 rat
