Institution record
Financial
Financial Administration Services Limited
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (firms with licence warnings, enforcement flags or complaints) are listed first. Check each one on the regulator's own register.
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Financial against peer institutions in our firms with licence warnings, enforcement flags or complaints dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Financial (this record) | FCA | 1 / 1 | Risk level not supplied | — | 0 |
| Kyte | FCANFA | 0 / 2 | Risk level not supplied | — | 0 |
| Swissquote | FCADFSAFINMA+3 | 5 / 6 | Risk level not supplied | — | 0 |
| Zenfinex | FCAFSASVG | 2 / 3 | Risk level not supplied | — | 0 |
| Exinity | FCAFSC | 1 / 2 | Risk level not supplied | — | 0 |
| Abshire-Smith | FCA | 0 / 1 | Risk level not supplied | — | 0 |
Financial: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Financial's regulatory licence status and supervisory authorisation?
In our imported dataset, Financial (legal entity reference: Financial Administration Services Limited) holds 1 recorded licence entry, of which 1 carries a "regulated" status and 1 are marked regulated or registered: FCA (Financial Conduct Authority (UK)) — licence 122169, 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 FCA public register.
Which of Financial's jurisdictions and licences fall within this site's regulatory coverage?
Financial is registered at Beech Gate, Millfield Lane, Lower Kingswood, Tadworth, Surrey, KT20 6RP。 and tracked under our firms with licence warnings, enforcement flags or complaints scope based on its institutional service profile (CFDs, Precious metals, Stock indices, Forex) rather than a domestic focus licence. Its 1 recorded licence (FCA) should be evaluated for cross-border passporting and local solicitation rules.
What is Financial's institutional risk classification, enforcement exposure, and score profile?
Financial 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 Financial's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Financial, institutional and retail allocators should: (1) confirm the domain (not supplied in source) 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 FCA.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from RegTech Codex relevant to Financial's supervisory scope.
Prudential Capital & Client Money Segregation
UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds (2 Years Max s21 Statutory Penalty Benchmark)
UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway (FCA-CONSUMER-DUTY) stands at 2 Years (Max s21 Statutory Penalty) (Source: UK Financial Conduct Authority, 2026-10-20), governing initial permanent
Clone Firm Detection & Register Audits
UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway: Supervisory Reporting Timelines, Technical Standards & Audit Trails (2 Years Max s21 Statutory Penalty Benchmark)
UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway (FCA-CONSUMER-DUTY) stands at 2 Years (Max s21 Statutory Penalty) (Source: UK Financial Conduct Authority, 2026-10-20), governing 4-hour/24-hour/72
EU MiCA & DORA Compliance
UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway: Enforcement Penalties, Sanction Ceilings & Self-Reporting Mitigation (2 Years Max s21 Statutory Penalty Benchmark)
UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway (FCA-CONSUMER-DUTY) stands at 2 Years (Max s21 Statutory Penalty) (Source: UK Financial Conduct Authority, 2026-10-20), governing recent enforcemen
Global Enforcement & Licensing Rules
UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway: Client Asset Segregation, Daily Reconciliation & Insolvency Protection (2 Years Max s21 Statutory Penalty Benchmark)
UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway (FCA-CONSUMER-DUTY) stands at 2 Years (Max s21 Statutory Penalty) (Source: UK Financial Conduct Authority, 2026-10-20), governing statutory trust l