Institution record
TradeStation
TradeStation International Ltd
- Source score
- 1.0
- 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 | |
|---|---|---|---|---|---|
In our coverage Financial Conduct Authority (UK FCA) | 445531 | Exceeded scope | TradeStation International Ltd | 2006-02-21 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing TradeStation against peer institutions in our firms with licence warnings, enforcement flags or complaints dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| TradeStation (this record) | Financial Conduct Authority (UK FCA) | 0 / 1 | Risk level not supplied | 1.0 | 0 |
| Trilt | Financial Conduct Authority (UK FCA)CNMVCYSEC+1 | 0 / 4 | Risk level not supplied | 1.5 | 0 |
| Kyte | Financial Conduct Authority (UK FCA)NFA | 0 / 2 | Risk level not supplied | 6.0 | 0 |
| Swissquote | Financial Conduct Authority (UK FCA)CYSECMAS+3 | 5 / 6 | Risk level not supplied | 6.5 | 0 |
| Exinity | Financial Conduct Authority (UK FCA)Financial Services Commission, Mauritius | 1 / 2 | Risk level not supplied | 6.0 | 0 |
| Zenfinex | Financial Conduct Authority (UK FCA)SVG FSAFinancial Services Authority Seychelles | 2 / 3 | Risk level not supplied | 5.0 | 0 |
TradeStation: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is TradeStation's regulatory licence status and supervisory authorisation?
In our imported dataset, TradeStation (legal entity reference: TradeStation International Ltd) holds 1 recorded licence entry, of which 0 carry a "regulated" status and 0 are marked regulated or registered: Financial Conduct Authority (UK FCA) — licence 445531, status: exceeded scope. 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 Financial Conduct Authority (UK FCA) public register.
Which of TradeStation's jurisdictions and licences fall within this site's regulatory coverage?
This directory focuses on firms with licence warnings, enforcement flags or complaints. 1 of TradeStation's 1 licence records fall directly within this jurisdictional mandate: Financial Conduct Authority (UK FCA) (licence 445531, exceeded scope, entity: TradeStation International Ltd). Always confirm whether client money segregation and statutory investor compensation schemes apply to the specific subsidiary onboarding your account.
What is TradeStation's institutional risk classification, enforcement exposure, and score profile?
TradeStation carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 1.0, risk & licensing: 1.0, brand: 1.0, market influence: 1.0, user reputation: 0.0). The record flags 0 regulatory warning or complaint counts and 1 licence record with elevated status flags (Financial Conduct Authority (UK FCA): exceeded scope). 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 TradeStation's platforms, entity structure, and complaints?
Before allocating capital or executing trades with TradeStation, institutional and retail allocators should: (1) confirm the domain (tradestation-international.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 Financial Conduct Authority (UK FCA).
Related institutional research & regulatory analysis
Editorial briefings and compliance research from RegTech Codex relevant to TradeStation'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