Institution record
FXCM
Stratos Global LLC
- 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.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
FCATier-1 Financial Conduct Authority | 217689 | Regulated | Stratos Markets Limited | 2003-05-27 | |
ASICTier-1 Australian Securities and Investments Commission | 309763 | Regulated | STRATOS TRADING PTY. LIMITED | 2007-05-15 | |
CyFOTier-2 FINANCIAL OMBUDSMAN OF THE REPUBLIC OF CYPRUS | 392/20 | Regulated | Stratos Europe Ltd | 2020-11-23 | |
FSCATier-2 Financial Sector Conduct Authority | 46534 | Regulated | STRATOS SOUTH AFRICA (PTY) LTD | 2016-02-09 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing FXCM against peer institutions in our firms with licence warnings, enforcement flags or complaints dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| FXCM (this record) | FCAASICCyFO+1 | 4 / 4 | Risk level not supplied | — | 0 |
| CANADA | FINTRACFinCENASIC+8 | 3 / 11 | Risk level not supplied | — | 0 |
| TRADE.COM | FCAFSCACYSEC | 1 / 3 | Risk level not supplied | — | 0 |
| Best Leader | ASICFSA | 0 / 2 | Risk level not supplied | — | 0 |
| WELTRADE | NBRBFSCA | 0 / 2 | Risk level not supplied | — | 1 |
| Mizuho Securities | FSAFCABaFin+4 | 6 / 7 | Risk level not supplied | — | 0 |
FXCM: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is FXCM's regulatory licence status and supervisory authorisation?
In our imported dataset, FXCM (legal entity reference: Stratos Global LLC) holds 4 recorded licence entries, of which 4 carry a "regulated" status and 4 are marked regulated or registered: FCA (Financial Conduct Authority) — licence 217689, status: regulated, Tier-1; ASIC (Australian Securities and Investments Commission) — licence 309763, status: regulated, Tier-1; CyFO (FINANCIAL OMBUDSMAN OF THE REPUBLIC OF CYPRUS) — licence 392/20, status: regulated, Tier-2; FSCA (Financial Sector Conduct Authority) — licence 46534, status: regulated, Tier-2. 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, ASIC, CyFO public register.
Which of FXCM's jurisdictions and licences fall within this site's regulatory coverage?
FXCM is tracked under our firms with licence warnings, enforcement flags or complaints coverage scope based on its institutional service profile (Cryptocurrencies, Indices, Forex, Stocks, Commodities) rather than a domestic focus licence. Its 4 recorded licences (FCA, ASIC, CyFO, FSCA) should be evaluated for cross-border passporting and local solicitation rules.
What is FXCM's institutional risk classification, enforcement exposure, and score profile?
FXCM 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 FXCM's platforms, entity structure, and complaints?
Before allocating capital or executing trades with FXCM, institutional and retail allocators should: (1) confirm the domain (forextrading.com.au) 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 FXCM's supervisory scope.
Global Enforcement & Licensing Rules
Global Regulatory Enforcement 2026: SEC Recordkeeping Fines, FCA Consumer Duty & ASIC/MAS Finfluencer Rules
SEC off-channel communications sweeps totaled $2.3 billion across 95 actions (Source: SEC, 2026-04-15), while 17 regulators led by the UK FCA executed a coordinated finfluencer crackdown in April 2026 (Source: FCA, 2026-04-20).
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