Institution record
IB
Interactive Brokers Hong Kong 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.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
MASTier-1 Monetary Authority of Singapore | CMS100917 | Regulated | INTERACTIVE BROKERS SINGAPORE PTE. LTD. | — | |
IIROCTier-1 Investment Industry Regulatory Organization of Canada | Not supplied | Regulated | Interactive Brokers Canada Inc. | — | |
FSATier-1 Financial Services Agency | Kanto Local Finance Bureau (FIBO) No. 187 | Regulated | — | 2007-09-30 | |
FCATier-1 Financial Conduct Authority | 208159 | Regulated | Interactive Brokers (UK) Ltd | 2002-02-06 | |
ASICTier-1 Australian Securities and Investments Commission | 453554 | Regulated | INTERACTIVE BROKERS AUSTRALIA PTY LTD | 2016-07-28 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing IB against peer institutions in our firms with licence warnings, enforcement flags or complaints dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| IB (this record) | MASIIROCFSA+2 | 5 / 5 | Risk level not supplied | — | 0 |
| Okcoin | FinCENFINTRACFinCEN+3 | 3 / 6 | 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 |
| Mizuho Securities | FSAFCABaFin+4 | 6 / 7 | Risk level not supplied | — | 0 |
IB: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is IB's regulatory licence status and supervisory authorisation?
In our imported dataset, IB (legal entity reference: Interactive Brokers Hong Kong Limited) holds 5 recorded licence entries, of which 5 carry a "regulated" status and 5 are marked regulated or registered: MAS (Monetary Authority of Singapore) — licence CMS100917, status: regulated, Tier-1; IIROC (Investment Industry Regulatory Organization of Canada) — licence Not supplied, status: regulated, Tier-1; FSA (Financial Services Agency) — licence Kanto Local Finance Bureau (FIBO) No. 187, status: regulated, Tier-1; FCA (Financial Conduct Authority) — licence 208159, status: regulated, Tier-1; ASIC (Australian Securities and Investments Commission) — licence 453554, 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 MAS, IIROC, FSA public register.
Which of IB's jurisdictions and licences fall within this site's regulatory coverage?
IB is registered at One Pickwick Plaza, Greenwich, CT 06830 USA and tracked under our firms with licence warnings, enforcement flags or complaints scope based on its institutional service profile (Stocks, Futures, Options) rather than a domestic focus licence. Its 5 recorded licences (MAS, IIROC, FSA, FCA, ASIC) should be evaluated for cross-border passporting and local solicitation rules.
What is IB's institutional risk classification, enforcement exposure, and score profile?
IB 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 IB's platforms, entity structure, and complaints?
Before allocating capital or executing trades with IB, 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 MAS.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from RegTech Codex relevant to IB'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
Global Regulator Warning List & Clone Firm Domain Verification Protocol: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds (100% FRN / Domain Match Requirement Benchmark)
Global Regulator Warning List & Clone Firm Domain Verification Protocol (CLONE-FIRM-AUDIT) stands at 100% (FRN / Domain Match Requirement) (Source: IOSCO / FCA / ASIC / MAS Registers, 2026-10-20), governing initial perma
Clone Firm Detection & Register Audits
Global Regulator Warning List & Clone Firm Domain Verification Protocol: Supervisory Reporting Timelines, Technical Standards & Audit Trails (100% FRN / Domain Match Requirement Benchmark)
Global Regulator Warning List & Clone Firm Domain Verification Protocol (CLONE-FIRM-AUDIT) stands at 100% (FRN / Domain Match Requirement) (Source: IOSCO / FCA / ASIC / MAS Registers, 2026-10-20), governing 4-hour/24-hou
EU MiCA & DORA Compliance
Global Regulator Warning List & Clone Firm Domain Verification Protocol: Enforcement Penalties, Sanction Ceilings & Self-Reporting Mitigation (100% FRN / Domain Match Requirement Benchmark)
Global Regulator Warning List & Clone Firm Domain Verification Protocol (CLONE-FIRM-AUDIT) stands at 100% (FRN / Domain Match Requirement) (Source: IOSCO / FCA / ASIC / MAS Registers, 2026-10-20), governing recent enforc