Institution record
Straits Financial 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 | |
|---|---|---|---|---|---|
CFTCTier-1 U.S. Commodity Futures Trading Commission | 0376609 | Registered | Straits Financial LLC | — | |
MASTier-1 Monetary Authority of Singapore | CMS100028-1 | Regulated | Straits Financial Services Pte Ltd | — | |
NFATier-2 National Futures Association | 0425918 | Registered | STRAITS FINANCIAL LLC | — |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Straits Financial 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 |
|---|---|---|---|---|---|
| Straits Financial Group (this record) | CFTCMASNFA | 1 / 3 | Risk level not supplied | — | 0 |
| AMP Global | NFACYSEC | 0 / 2 | Risk level not supplied | — | 0 |
| Kyte | FCANFA | 0 / 2 | Risk level not supplied | — | 0 |
| Seventy Brokers | VFSCNFA | 0 / 2 | Risk level not supplied | — | 0 |
| Mizuho Securities | FSAFCABaFin+4 | 6 / 7 | Risk level not supplied | — | 0 |
| CMCMarkets | BaFinFCAFMA+3 | 5 / 6 | Risk level not supplied | — | 0 |
Straits Financial Group: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Straits Financial Group's regulatory licence status and supervisory authorisation?
In our imported dataset, Straits Financial Group (legal entity reference: Straits Financial Group) holds 3 recorded licence entries, of which 1 carries a "regulated" status and 3 are marked regulated or registered: CFTC (U.S. Commodity Futures Trading Commission) — licence 0376609, status: registered, Tier-1; MAS (Monetary Authority of Singapore) — licence CMS100028-1, status: regulated, Tier-1; NFA (National Futures Association) — licence 0425918, status: registered, 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 CFTC, MAS, NFA public register.
Which of Straits Financial Group's jurisdictions and licences fall within this site's regulatory coverage?
Straits Financial Group is registered at 9 Temasek Boulevard #28-02 Suntec Tower Two Singapore 038989 and tracked under our firms with licence warnings, enforcement flags or complaints scope based on its institutional service profile (Precious metals, Stocks, Futures, Commodities) rather than a domestic focus licence. Its 3 recorded licences (CFTC, MAS, NFA) should be evaluated for cross-border passporting and local solicitation rules.
What is Straits Financial Group's institutional risk classification, enforcement exposure, and score profile?
Straits Financial 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 Straits Financial Group's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Straits Financial Group, institutional and retail allocators should: (1) confirm the domain (straitsfinancial.com) 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 CFTC.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from RegTech Codex relevant to Straits Financial Group's supervisory scope.
EU MiCA & DORA Compliance
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds ($20M Minimum Adjusted Net Capital Benchmark)
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing initial permanent c
Global Enforcement & Licensing Rules
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision: Supervisory Reporting Timelines, Technical Standards & Audit Trails ($20M Minimum Adjusted Net Capital Benchmark)
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing 4-hour/24-hour/72-h
Prudential Capital & Client Money Segregation
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision: Enforcement Penalties, Sanction Ceilings & Self-Reporting Mitigation ($20M Minimum Adjusted Net Capital Benchmark)
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing recent enforcement
Clone Firm Detection & Register Audits
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision: Client Asset Segregation, Daily Reconciliation & Insolvency Protection ($20M Minimum Adjusted Net Capital Benchmark)
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing statutory trust let