Institution record
LMAX Group
- 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 | 783200 | Regulated | 783200 | 2017-12-15 | |
FSPRTier-1 Financial Service Providers Register | FSP612509 | Regulated | LMAX NEW ZEALAND LIMITED | 2018-05-24 | |
CYSECTier-2 Cyprus Securities and Exchange Commission | 310/16 | Regulated | LMAX Broker Europe Ltd | 2016-08-08 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing LMAX Group against peer institutions in our firms with licence warnings, enforcement flags or complaints dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| LMAX Group (this record) | FCAFSPRCYSEC | 3 / 3 | 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 |
| AMP Global | NFACYSEC | 0 / 2 | Risk level not supplied | — | 0 |
| FONDEX | CYSECFSA | 0 / 2 | Risk level not supplied | — | 0 |
| Koderan Forex | FSCFSPR | 0 / 2 | Risk level not supplied | — | 0 |
LMAX Group: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is LMAX Group's regulatory licence status and supervisory authorisation?
In our imported dataset, LMAX Group (legal entity reference: LMAX Group) holds 3 recorded licence entries, of which 3 carry a "regulated" status and 3 are marked regulated or registered: FCA (Financial Conduct Authority) — licence 783200, status: regulated, Tier-1; FSPR (Financial Service Providers Register) — licence FSP612509, status: regulated, Tier-1; CYSEC (Cyprus Securities and Exchange Commission) — licence 310/16, 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, FSPR, CYSEC public register.
Which of LMAX Group's jurisdictions and licences fall within this site's regulatory coverage?
LMAX Group is registered at Yellow Building 1A Nicholas Road London W11 4AN UNITED KINGDOM and tracked under our firms with licence warnings, enforcement flags or complaints scope based on its institutional service profile (Cryptocurrencies, Precious metals, Indices, Forex, Stocks, Commodities) rather than a domestic focus licence. Its 3 recorded licences (FCA, FSPR, CYSEC) should be evaluated for cross-border passporting and local solicitation rules.
What is LMAX Group's institutional risk classification, enforcement exposure, and score profile?
LMAX Group 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 LMAX Group's platforms, entity structure, and complaints?
Before allocating capital or executing trades with LMAX Group, 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 LMAX Group'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