Institution record
The Capital 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 | |
|---|---|---|---|---|---|
MASTier-1 Monetary Authority of Singapore | 249688 | Regulated | CAPITAL GROUP INVESTMENT MANAGEMENT PTE. LTD. | — | |
FCATier-1 Financial Conduct Authority | 943758 | Regulated | Capital Group UK Management Company Limited | 2022-01-07 | |
SFCTier-1 Securities and Futures Commission | Number pending check | Regulated | Capital International Inc. | 2004-12-03 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing The Capital 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 |
|---|---|---|---|---|---|
| The Capital Group (this record) | MASFCASFC | 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 |
| Mizuho Securities | FSAFCABaFin+4 | 6 / 7 | Risk level not supplied | — | 0 |
| Admiral Markets | BaFinFSAEFSA+3 | 4 / 6 | Risk level not supplied | — | 0 |
| CMCMarkets | BaFinFCAFMA+3 | 5 / 6 | Risk level not supplied | — | 0 |
The Capital Group: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is The Capital Group's regulatory licence status and supervisory authorisation?
In our imported dataset, The Capital Group (legal entity reference: The Capital Group) holds 3 recorded licence entries, of which 3 carry a "regulated" status and 3 are marked regulated or registered: MAS (Monetary Authority of Singapore) — licence 249688, status: regulated, Tier-1; FCA (Financial Conduct Authority) — licence 943758, status: regulated, Tier-1; SFC (Securities and Futures Commission) — licence Number pending check, 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, FCA, SFC public register.
Which of The Capital Group's jurisdictions and licences fall within this site's regulatory coverage?
The Capital Group is tracked under our firms with licence warnings, enforcement flags or complaints coverage scope based on its institutional service profile (Futures) rather than a domestic focus licence. Its 3 recorded licences (MAS, FCA, SFC) should be evaluated for cross-border passporting and local solicitation rules.
What is The Capital Group's institutional risk classification, enforcement exposure, and score profile?
The Capital 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 The Capital Group's platforms, entity structure, and complaints?
Before allocating capital or executing trades with The Capital 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 MAS.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from RegTech Codex relevant to The Capital Group's supervisory scope.
EU MiCA & DORA Compliance
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds (HKD 10M Paid-Up Share Capital Floor Benchmark)
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing i
Global Enforcement & Licensing Rules
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules: Supervisory Reporting Timelines, Technical Standards & Audit Trails (HKD 10M Paid-Up Share Capital Floor Benchmark)
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing 4
Prudential Capital & Client Money Segregation
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules: Enforcement Penalties, Sanction Ceilings & Self-Reporting Mitigation (HKD 10M Paid-Up Share Capital Floor Benchmark)
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing r
Clone Firm Detection & Register Audits
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules: Client Asset Segregation, Daily Reconciliation & Insolvency Protection (HKD 10M Paid-Up Share Capital Floor Benchmark)
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing s