National Supervisory Authority & Licensing Qualification Dossier • Asia-Pacific
Financial Conduct Authority (UK)
Global JurisdictionSource / Native Reference: 英国金融行为监管局
- Supervisory tier
- Tier-2
- License classes
- 2
- Licensed records
- 83
- Active / regulated
- 58
Statutory Supervisory Mandate & Scope
Financial Conduct Authority (UK) (Financial Conduct Authority (UK)) authorises and supervises securities broker-dealers, derivatives intermediaries, asset managers, collective investment schemes, and market infrastructure in Global Jurisdiction.
Prudential Tier Assessment
Tier-2Tier-2 national capital markets, securities, and derivatives supervisory authority in Global Jurisdiction, IOSCO member standards-aligned.
National licensing qualifications & statutory authorisation classes (Financial Conduct Authority (UK))
Authorisation categories, permitted institutional and retail activities, minimum initial capital adequacy, and ongoing prudential solvency rules enforced by Financial Conduct Authority (UK) in Global Jurisdiction.
| License class / code | Official designation | Permitted institutional & retail activities | Minimum initial / base capital | Ongoing prudential & solvency rule |
|---|---|---|---|---|
| Category 1 / Principal Broker-Dealer | Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) | Dealing as principal or market maker in securities, FX, CFDs, futures, options, and underwriting. | USD $150,000 – $500,000 equivalent minimum paid-up capital | Risk-weighted capital adequacy + minimum liquid capital buffer ≥ 25% of annual fixed overheads. |
| Category 2 / Agency Broker & Asset Manager | Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence | Order execution, reception and transmission of client orders, discretionary portfolio management, and investment advisory. | USD $75,000 – $150,000 equivalent minimum paid-up capital | Strict client money segregation, best-execution monitoring, and quarterly regulatory financial returns. |
Investor compensation, client money segregation & digital-asset regime
Statutory counterparty protections, custody reconciliation mandates, and virtual-asset licensing status under Financial Conduct Authority (UK).
National Investor Protection / Compensation Scheme (Global Jurisdiction)
- Maximum coverage per client
- Subject to statutory national investor protection fund limits and segregated trust priority
- Eligible counterparties & scope
- Retail clients of licensed securities and investment brokerage firms.
Financial Conduct Authority (UK) Client Money & Safe Custody Segregation Rules
- Reconciliation & audit cadence
- Daily reconciliation of segregated client trust bank accounts against client trading ledger balances.
- Approved custodian requirements
- Client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories.
Financial Conduct Authority (UK) Digital Asset / Tokenized Securities & VASP Regulatory Framework
- Travel Rule, custody & stablecoin rules
- FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
Primary Governing Statutes & Rulebooks
- Securities and Capital Markets Act of Global Jurisdiction
- Financial Conduct Authority (UK) Licensing, Prudential Capital Adequacy & Conduct of Business Rules
- Client Money & Custody Asset Segregation Regulations (Global Jurisdiction)
- IOSCO Principles of Securities Regulation & National AML/CFT Rulebook
Regulatory Reporting & Audit Obligations
Quarterly capital adequacy returns and annual IFRS audited financial statements submitted to Financial Conduct Authority (UK)Annual independent auditor attestation on Client Money and Safe Custody complianceTransaction reporting, market abuse surveillance (MAR), and AML/CFT suspicious activity reporting
Cross-Border Equivalence & Passporting
Operates under Global Jurisdiction national jurisdiction and IOSCO MMoU cross-border supervisory cooperation.
Supervised institutions & Financial Conduct Authority (UK) licence records in our database
83 licence records referencing Financial Conduct Authority (UK) (58 regulated/registered, 21 flagged with warnings/revocations).
| Institution | Licence number | Status | Licensed legal entity | Effective date | Verification |
|---|---|---|---|---|---|
| Trilt | 750779 | Revoked | TRILT LTD | 2016-06-23 | |
| Kyte | 174863 | Exceeded scope | Kyte Broking Limited | 2001-12-01 | |
| Swissquote | 562170 | Suspected clone | Swissquote Ltd | 2012-05-02 | |
| Exinity | 777911 | Suspected clone | Exinity UK Ltd | 2018-02-01 | |
| Zenfinex | 816055 | Suspected clone | Zenfinex Limited | 2019-03-11 | |
| Abshire-Smith | 590890 | Revoked | Abshire-Smith Global Ltd | — | |
| ForexMart | 728735 | Unauthorised | INSTANT TRADING EU LTD | 2015-12-11 | |
| Interactive Investor | 141282 | Suspected clone | Interactive Investor Services Limited | 2001-12-01 | |
| KQ Markets | 780026 | Suspected clone | KQ Markets Limited | 2018-01-02 | |
| TS CAPITAL | 447281 | Revoked | TS CAPITAL LIMITED | 2006-05-16 | |
| FXGiants | 585561 | Suspected clone | Notesco Limited | 2013-06-17 | |
| Guardian Stockbrokers | 492519 | Exceeded scope | Guardian Stockbrokers Ltd | 2009-04-27 | |
| Astral | 801104 | Exceeded scope | Astral Financial Ltd | 2018-04-18 | |
| CFSM Trader | 171480 | Suspected clone | CFS Management Ltd | 2001-12-01 | |
| Global Markets Group | 744501 | Suspected clone | Global Markets Group Limited | 2016-09-12 | |
| GTM | 801104 | Suspected clone | GLOBAL TRANSACTION MARKET | 2018-04-18 | |
| huitong | 149028 | Suspected clone | Monument Securities Limited | 2013-04-01 | |
| Varchev | 494045 | Revoked | Varchev Finance Ltd | 2008-12-31 | |
| CIX Markets | 232015 | No licence | City Credit Capital (UK) Ltd | 2004-11-10 | |
| TradeStation | 445531 | Exceeded scope | TradeStation International Ltd | 2006-02-21 | |
| VFX Financial | 592260 | Exceeded scope | VFX Financial PLC | 2018-06-12 | |
| Dupoin | 622574 | Regulated | Dupoin UK Ltd | 2014-11-18 | |
| Axi | 466201 | Regulated | Axi Financial Services (UK) Limited | 2007-08-16 | |
| Kraken(Global network record) | 967575 | Regulated | Kraken | 2022-01-14 | |
| eToro(Global network record) | 583263 | Regulated | eToro (UK) Ltd | 2013-05-09 | |
| CBCX(Global network record) | 572911 | Regulated | CBCX MARKETS UK LIMITED | 2012-08-23 | |
| EC Markets(Global network record) | 571881 | Regulated | EC Markets Group Ltd | 2012-08-08 | |
| eToro(Global network record) | 583263 | Regulated | eToro (UK) Ltd | 2013-05-09 | |
| CXM Direct(Global network record) | 966753 | Regulated | CXM Prime Ltd | 2022-12-20 | |
| Trading 212(Global network record) | 609146 | Regulated | Trading 212 UK Limited | 2014-10-01 | |
| ZFX(Global network record) | 768451 | Regulated | Zeal Capital Market (UK) Limited | 2017-09-04 | |
| Freetrade(Global network record) | 783189 | Regulated | Freetrade Limited | 2017-02-10 | |
| iDealing.com(Global network record) | 191660 | Regulated | iDealing.com Limited | 2001-12-01 | |
| InvestEngine(Global network record) | 801128 | Regulated | InvestEngine (UK) Limited | 2019-07-01 | |
| Swissquote(Global network record) | 562170 | Regulated | Swissquote Ltd | 2012-05-02 | |
| Wealthify(Global network record) | 662530 | Regulated | Wealthify Limited | 2015-12-10 | |
| Finalto(Global network record) | 607305 | Regulated | Finalto Trading Limited | 2014-09-04 | |
| Finalto(Global network record) | 481853 | Regulated | Finalto Financial Services Limited | 2008-09-08 | |
| dlocal(Global network record) | 1007955 | Regulated | Dlocal | 2024-12-17 | |
| Bestinvest(Global network record) | 125308 | Regulated | Evelyn Partners Investment Management Services Limited | 2001-12-01 | |
| Gildencrest Capital(Global network record) | 564741 | Regulated | Gildencrest Capital Limited | 2012-05-30 | |
| Land-FX(Global network record) | 709866 | Regulated | LandFX UK Limited | 2016-06-07 | |
| Marex Spectron(Global network record) | 442767 | Regulated | MAREX FINANCIAL | 2006-01-13 | |
| Vanguard Investor UK(Global network record) | 527839 | Regulated | Vanguard Asset Management, Ltd | 2011-01-24 | |
| WiseAlpha(Global network record) | 751087 | Regulated | WiseAlpha Technologies Limited | 2016-09-15 | |
| Paysafe(Global network record) | 900015 | Regulated | Paysafe | 2021-12-11 | |
| Nuvei(Global network record) | 994233 | Regulated | Nuvei Financial Services Limited | — | |
| MUFG Bank(Global network record) | 139189 | Regulated | MUFG BANK, LTD | 2001-01-12 | |
| Ignite Broker(Global network record) | 969303 | Regulated | Ignite (Grantham) Limited | 2015-06-10 | |
| Skrill(Global network record) | 900001 | Regulated | Skrill | 2021-12-11 | |
| VARIANSE(Global network record) | 802012 | Regulated | VDX Limited | 2018-09-17 | |
| Adyen(Global network record) | 779800 | Regulated | Adyen | 2023-09-06 | |
| Bank of Scotland(Global network record) | 169628 | Regulated | Bank of Scotland plc | 2001-01-21 | |
| Barclays(Global network record) | 122702 | Regulated | Barclays Bank Plc | 2001 | |
| HSBC Bank plc(Global network record) | 114216 | Regulated | HSBC Bank Plc | — | |
| NatWest(Global network record) | 121878 | Regulated | NATIONAL WESTMINSTER BANK PUBLIC LIMITED COMPANY | 2019-08-09 | |
| Nedbank Group(Global network record) | 204684 | Regulated | Nedbank Limited | 2001-12-01 | |
| Revolut(Global network record) | 780586 | Regulated | Revolut Travel Ltd | 2017-09-21 | |
| Revolut(Global network record) | 975775 | Regulated | Revolut Ltd | 2019-09-09 | |
| Standard Chartered(Global network record) | 114276 | Regulated | Standard Chartered Bank | 2001-01-12 | |
| Starling Bank(Global network record) | 730166 | Regulated | Starling Bank Limited | 2016-07-12 | |
| Ulster Bank(Global network record) | Not supplied | Regulated | Ulster Bank | — | |
| Worldpay(Global network record) | 07316500 | Regulated | Worldpay | 2018-4-13 | |
| Ziraat bank(Global network record) | 204705 | Regulated | T C Ziraat Bankasi AS | 2001-12-01 | |
| AGL(Global network record) | 580056 | Regulated | ABans Global Limited | 2013-04-02 | |
| Capital Markets(Global network record) | 583632 | Regulated | Capital Markets Elite Group (UK) Limited | 2013-02-01 | |
| Danske Bank (Northern Ireland)(Global network record) | Not supplied | Regulated | Danske Bank (Northern Ireland) | — | |
| Doo Clearing Limited(Global network record) | 833414 | Status not supplied | DOO Clearing Limited | 2019-06-17 | |
| Fidelity International(Global network record) | 122169 | Regulated | Financial Administration Services Limited | — | |
| Land Prime(Global network record) | 709866 | Regulated | LandFX UK Limited | 2016-06-07 | |
| MoonPay(Global network record) | 944716 | Regulated | MoonPay (UK) Limited | 2022-09-12 | |
| RBS BANK(Global network record) | 785096 | Regulated | Royal Bank of Scotland (industrial Leasing) Ltd | 2018-02-23 | |
| True Potential(Global network record) | 527444 | Regulated | True Potential Investments LLP | 2019-08-20 | |
| X Open Hub(Global network record) | 522157 | Regulated | XTB Limited | 2011-01-17 | |
| Moneyfarm(Global network record) | 629539 | Regulated | MFM Investment Ltd | 2015-07-08 | |
| Neteller(Global network record) | 229737 | Expired | Neteller | — | |
| MARKETS.COM(Global network record) | 481853 | Regulated | Finalto Financial Services Limited | 2008-09-08 | |
| BCB(Global network record) | Not supplied | Regulated | BCB Blockchain Group | — | |
| FCI Markets(Global network record) | 616985 | Regulated | Foreign Currency Innovations Limited | 2014-07-10 | |
| Novion(Global network record) | 843506 | Registered | NOVION GLOBAL LTD | — |
Financial Conduct Authority (UK) (Global Jurisdiction): institutional licensing & due diligence FAQ
Key statutory capital, compensation, custody segregation, and verification answers for compliance teams.
What are the primary licensing classes and minimum capital requirements under Financial Conduct Authority (UK) (Global Jurisdiction)?
Financial Conduct Authority (UK) (Financial Conduct Authority (UK)) supervises financial institutions in Global Jurisdiction under Securities and Capital Markets Act of Global Jurisdiction and Financial Conduct Authority (UK) Licensing, Prudential Capital Adequacy & Conduct of Business Rules. Key statutory authorisation classes include: Category 1 / Principal Broker-Dealer (Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) — min. capital: USD $150,000 – $500,000 equivalent minimum paid-up capital); Category 2 / Agency Broker & Asset Manager (Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence — min. capital: USD $75,000 – $150,000 equivalent minimum paid-up capital). Ongoing prudential supervision requires strict adherence to capital adequacy and liquidity buffers.
Does Financial Conduct Authority (UK) provide statutory investor compensation and mandatory client asset segregation?
Under Financial Conduct Authority (UK)'s framework, investor protection is governed by National Investor Protection / Compensation Scheme (Global Jurisdiction) with maximum coverage of Subject to statutory national investor protection fund limits and segregated trust priority (Retail clients of licensed securities and investment brokerage firms.). For client money and custody assets, supervised firms must comply with Financial Conduct Authority (UK) Client Money & Safe Custody Segregation Rules, performing daily reconciliation of segregated client trust bank accounts against client trading ledger balances. with client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories..
How does Financial Conduct Authority (UK) regulate digital assets, crypto exchanges (VASPs/CASPs), and stablecoins?
Financial Conduct Authority (UK)'s digital-asset regime is structured around Financial Conduct Authority (UK) Digital Asset / Tokenized Securities & VASP Regulatory Framework (Regulates security tokens, crypto derivatives, and licensed digital asset intermediaries in Global Jurisdiction.). Custody and AML/CFT compliance obligations require: FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
How can I verify an institution's Financial Conduct Authority (UK) licence number and check our 83 recorded licence entries?
Our database currently tracks 83 licence records referencing Financial Conduct Authority (UK) (58 marked regulated or registered). To verify a counterparty at the primary source, open Financial Conduct Authority (UK)'s official public register (https://www.fca.org.uk/), search by the exact reference number and legal entity name, and confirm that the firm's domain and permitted activities match its statutory authorisation.
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Regulatory Compliance & Licensing
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Statutory licensing classes, base capital rules, and investor protection summaries for Financial Conduct Authority (UK) (Global Jurisdiction) are maintained for institutional benchmarking and do not constitute legal advice. Always verify current rulebooks and active firm authorisations directly on Financial Conduct Authority (UK)’s official public register.