Institution record
StoneX
StoneX Financial Inc.
- 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 | |
|---|---|---|---|---|---|
SECTier-1 U.S. Securities and Exchange Commission | CRD 136795 / SEC 8-68179 | Regulated | StoneX Financial Inc. | 2015 | |
MASTier-1 Monetary Authority of Singapore | Number pending check | Regulated | StoneX Financial Pte. Ltd. | 2011 | |
ASICTier-1 Australian Securities and Investments Commission | 345646 | Regulated | City Index Australia Pty Ltd | 2014 | |
FCATier-1 Financial Conduct Authority | 446717 | Regulated | StoneX Financial Ltd | 2010 | |
NFATier-2 National Futures Association | 0501390 | Regulated | StoneX Financial Inc. | 2015 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing StoneX against peer institutions in our firms with licence warnings, enforcement flags or complaints dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| StoneX (this record) | SECMASASIC+2 | 5 / 5 | 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 |
| Best Leader | ASICFSA | 0 / 2 | Risk level not supplied | — | 0 |
| Kyte | FCANFA | 0 / 2 | Risk level not supplied | — | 0 |
StoneX: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is StoneX's regulatory licence status and supervisory authorisation?
In our imported dataset, StoneX (legal entity reference: StoneX Financial Inc.) holds 5 recorded licence entries, of which 5 carry a "regulated" status and 5 are marked regulated or registered: SEC (U.S. Securities and Exchange Commission) — licence CRD 136795 / SEC 8-68179, status: regulated, Tier-1; MAS (Monetary Authority of Singapore) — licence Number pending check, status: regulated, Tier-1; ASIC (Australian Securities and Investments Commission) — licence 345646, status: regulated, Tier-1; FCA (Financial Conduct Authority) — licence 446717, status: regulated, Tier-1; NFA (National Futures Association) — licence 0501390, 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 SEC, MAS, ASIC public register.
Which of StoneX's jurisdictions and licences fall within this site's regulatory coverage?
StoneX is registered at 230 S LaSalle St #10-500 Chicago, IL 60604 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 5 recorded licences (SEC, MAS, ASIC, FCA, NFA) should be evaluated for cross-border passporting and local solicitation rules.
What is StoneX's institutional risk classification, enforcement exposure, and score profile?
StoneX 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 StoneX's platforms, entity structure, and complaints?
Before allocating capital or executing trades with StoneX, institutional and retail allocators should: (1) confirm the domain (stonex.co) 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 SEC.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from RegTech Codex relevant to StoneX'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