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RegTech CodexGlobal Financial Compliance, AML/KYC Frameworks & Prudential Rulebooks

Institution directory

Licence records by institution

Look up a broker or financial institution and see every licence record we hold for it: the regulator, the licence number and the status reported by the source.

Coverage: Firms with licence warnings, enforcement flags or complaints

3 matching institutions

1–3 of 3

InstitutionLicences on recordWarnings
Axion
Axion Trade Limited
SERCExceeded scopeFSAOffshoreASICCancelled
0
Broker
Broker Jet Co. LTD.
SERCExceeded scope
0
YAI
YAI Trading Co., Ltd.
SERCExceeded scope
0

Records come from an imported dataset and have not been checked one-by-one against official registers. Status and scores reflect source fields, not our own findings or a recommendation.