National Supervisory Authority & Licensing Qualification Dossier • Asia-Pacific
Financial Conduct Authority
Global Jurisdiction- Supervisory tier
- Tier-2
- License classes
- 2
- Licensed records
- 135
- Active / regulated
- 126
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
135 licence records referencing Financial Conduct Authority (126 regulated/registered, 9 flagged with warnings/revocations).
| Institution | Licence number | Status | Licensed legal entity | Effective date | Verification |
|---|---|---|---|---|---|
| Coinbase | 900635 | Regulated | CB Payments Ltd | 2018-07-12 | |
| CMCMarkets | 173730 | Regulated | CMC Markets UK plc | 2001-12-01 | |
| CMCMarkets | 170627 | Regulated | CMC Spreadbet Plc | 2001-12-01 | |
| XTX Markets | 949967 | Regulated | XTX Markets Trading Limited | 2021-10-19 | |
| XTX Markets | 711945 | Regulated | XTX Markets Limited | 2016-07-04 | |
| CEX.IO | Not supplied | Regulated | CEX.IO Ltd | 2024 | |
| Al Rayan Bank | 229148 | Regulated | Al Rayan Bank PLC | — | |
| Lloyds Bank | 119278 | Regulated | Lloyds Bank PLC | — | |
| Ziglu | 900977 | Regulated | Ziglu Limited | 2020-09-01 | |
| Ziglu | Not supplied | Registered | Ziglu Limited | 2020 | |
| The Kingdom Bank | Not supplied | Regulated | Kingdom Bank | — | |
| Forex | 446717 | Regulated | StoneX Financial Ltd | 2006-03-24 | |
| OANDA | 542574 | Regulated | OANDA Europe Limited | 2011-05-17 | |
| IB | 208159 | Regulated | Interactive Brokers (UK) Ltd | 2002-02-06 | |
| HFM | 801701 | Regulated | HF Markets (UK) Limited | 2018-11-14 | |
| IG | 195355 | Regulated | IG Markets Limited | 2001-12-01 | |
| LMAX Group | 783200 | Regulated | 783200 | 2017-12-15 | |
| TeraFX | 564741 | Regulated | Tera Europe Limited | 2012-05-30 | |
| Exness | 730729 | Regulated | Exness (UK) Ltd | 2016-09-01 | |
| FxPro | 509956 | Regulated | FXPRO UK Limited | 2010-09-10 | |
| Acetop | 767154 | Regulated | Acetop Financial Limited | 2017-09-11 | |
| Saxo | 551422 | Regulated | Saxo Capital Markets UK Limited | 2011-10-05 | |
| Doo Prime | 833414 | Regulated | DOO Clearing Limited | 2019-06-17 | |
| Pepperstone | 684312 | Regulated | Pepperstone Limited | 2015-08-05 | |
| ThinkMarkets | 629628 | Regulated | TF Global Markets (UK) Limited | 2015-01-23 | |
| EightCap | 921296 | Regulated | Eightcap Group Ltd | 2020-12-23 | |
| FXCM | 217689 | Regulated | Stratos Markets Limited | 2003-05-27 | |
| ICM | 520965 | Revoked | ICM Capital Limited | 2010-11-08 | |
| Tickmill | 717270 | Regulated | Tickmill UK LTD | 2016-07-29 | |
| CFI International Ltd | 828955 | Regulated | Credit Financier Invest Limited | 2019-10-14 | |
| DBG Markets | 469459 | Registered | DBG MARKETS (UK) LLP | 2007-10-01 | |
| FXTM | 777911 | Regulated | Exinity UK Ltd | 2018-02-01 | |
| HTFX | 822279 | Regulated | HTFX Limited | 2019-03-25 | |
| PRCBroker | 731259 | Revoked | Performance Ronnaru Company Limited | 2016-01-08 | |
| XTB | 522157 | Regulated | XTB Limited | 2011-01-17 | |
| ADSS | 577453 | Regulated | ADS SECURITIES LONDON LIMITED | 2012-07-24 | |
| CWG | 785129 | Regulated | CWG Markets Ltd | 2018-07-02 | |
| CXM Trading | 612233 | Regulated | ALCHEMY PRIME LIMITED | 2014-08-05 | |
| Direct TT | 795892 | Suspected clone | Direct Trading Technologies UK Ltd | 2018-09-18 | |
| Hirose Financial | 540244 | Regulated | Hirose Financial UK Limited | 2011-07-01 | |
| Taurex | 816055 | Regulated | Zenfinex Limited | 2019-03-11 | |
| InterTrader | 597312 | Regulated | Alvar Financial Services Limited | 2013-03-18 | |
| ITI Capital | 171487 | Regulated | ITI Capital Limited | 2001-12-01 | |
| Spreadco | 446677 | Regulated | Spread Co Limited | 2006-10-06 | |
| HYCM | 186171 | Regulated | HYCM CAPITAL MARKETS (UK) LIMITED | 2001-12-01 | |
| Hantec Markets Australia | 502635 | Regulated | Hantec Markets Limited | 2010-06-16 | |
| Blackwell Global | 687576 | Regulated | Blackwell Global Investments (UK) Limited | 2016-02-01 | |
| BRITANNIA | 739949 | Regulated | BRITANNIA GLOBAL INVESTMENTS LIMITED | 2017-01-02 | |
| Admiral Markets | 595450 | Regulated | Admiral Markets UK Ltd | 2013-06-12 | |
| Trade Nation | 525164 | Regulated | TRADE NATION FINANCIAL UK LTD | 2011-05-09 | |
| Plus500 | 509909 | Regulated | Plus500UK Ltd | 2010-06-29 | |
| Equiti | Not supplied | Regulated | Equiti Capital UK Limited | — | |
| Fortrade | 609970 | Regulated | Fortrade Limited | 2014-04-17 | |
| ATFX | 760555 | Regulated | AT Global Markets (UK) Limited | 2017-07-11 | |
| Vantage | 590299 | Regulated | Vantage Global Prime LLP | 2013-07-01 | |
| ATC Brokers | 591361 | Regulated | ATC Brokers | — | |
| CPT Markets | 606110 | Exceeded scope | CPT MARKETS UK LIMITED | 2014-07-31 | |
| FXOpen | 579202 | Regulated | FXOpen Ltd | 2013-03-22 | |
| TRADE.COM | 738538 | Suspected clone | Trade Capital UK (TCUK) Ltd | 2017-01-17 | |
| XNT LTD | 789421 | Regulated | LHCM LTD | 2018-09-29 | |
| BUX | 184333 | Regulated | APM Capital Markets Limited | — | |
| GMI | 677530 | Regulated | Global Market Index Limited | 2015-11-23 | |
| KEY TO MARKETS | 527809 | Revoked | Key To Markets Limited | 2010-11-15 | |
| Noor Capital UK | 631382 | Regulated | House of Borse Ltd | 2015-03-09 | |
| One Financial Markets | 466201 | Regulated | Axi Financial Services (UK) Limited | 2007-08-16 | |
| Trading | 705428 | Regulated | Trading Point of Financial Instruments UK Limited | 2016-05-03 | |
| Trading212 · Trading 212 | 609146 | Regulated | Trading 212 UK Limited | 2014-10-01 | |
| Valutrades | 586541 | Regulated | Valutrades Limited | 2013-04-03 | |
| BP Prime | 688456 | Regulated | Black Pearl Securities Limited | 2015-10-22 | |
| BP PRIME | 688456 | Regulated | Black Pearl | 2015-10-22 | |
| City Index | 446717 | Regulated | StoneX Financial Ltd | 2006-03-24 | |
| Darwinex | 586466 | Regulated | Tradeslide Trading Tech Limited | 2013-07-15 | |
| GC Capital | 564741 | Regulated | Gildencrest Capital Limited | 2012-05-30 | |
| LHCM | 789421 | Regulated | LHCM LTD | 2018-08-29 | |
| Maxis investments | 441316 | Regulated | Maxis Investments Ltd | 2006-06-09 | |
| OGM | 769481 | Regulated | One Global Market Limited | 2017-10-05 | |
| Spreadex | 190941 | Regulated | preadex Limited | 2001-12-01 | |
| TIO Markets | 488900 | Regulated | TIO Markets UK Limited | 2009-08-26 | |
| UKCH | 595713 | Regulated | UK Clearing House Limited | 2014-01-02 | |
| VIEXS | 923324 | Regulated | Vision Integrated Exchange LTD | 2021-02-11 |
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 135 recorded licence entries?
Our database currently tracks 135 licence records referencing Financial Conduct Authority (126 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.
Related regulatory & market structure briefings
Research and compliance analysis from QuantCalc Tools relevant to Financial Conduct Authority and Global Jurisdiction.
Quantitative Risk & Capital Modeling
Basel III Endgame FRTB & ISDA SIMM v2.6+ Quantitative Calibration: Expected Shortfall, Non-Modellable Risk Factors (NMRF), and Cross-Margin Capital Optimization (2026)
Complete quantitative specification of BCBS MAR20-MAR33 Fundamental Review of the Trading Book (FRTB), 97.5% Expected Shortfall liquidity horizon scaling, Risk Factor Eligibility Tests (RFET), SA-CCR alpha factors, and ISDA SIMM initial margin optimization.
Quantitative Pricing & Options Engines
NY Fed SOFR Index ACT/360 In-Arrears Compounding Engine: Cross-Margining & Capital Efficiency Optimization (4.4151% 90-Day Annualized Benchmark)
NY Fed SOFR Index ACT/360 In-Arrears Compounding Engine (SOFR-INDEX-ACT360) stands at 4.4151% (90-Day Annualized) (Source: NY Fed Reference Rates, 2026-10-20), governing inter-commodity correlation offsets and liquidity
Risk-Adjusted Performance Benchmarks
NY Fed SOFR Index ACT/360 In-Arrears Compounding Engine: Model Risk Management (SR 11-7) Validation Benchmarks (4.4151% 90-Day Annualized Benchmark)
NY Fed SOFR Index ACT/360 In-Arrears Compounding Engine (SOFR-INDEX-ACT360) stands at 4.4151% (90-Day Annualized) (Source: NY Fed Reference Rates, 2026-10-20), governing backtesting Kupiec POF exceptions and Christoffers
Fixed Income Duration & Portfolio Risk
CME SPAN 2 Historical & Stress Value-at-Risk (VaR) Model: Cross-Margining & Capital Efficiency Optimization (6.26% Initial Margin / Notional Benchmark)
CME SPAN 2 Historical & Stress Value-at-Risk (VaR) Model (CME-SPAN2-VAR) stands at 6.26% (Initial Margin / Notional) (Source: CME Clearing, 2026-10-20), governing inter-commodity correlation offsets and liquidity add-on
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.