30-Jurisdiction Statutory Audit • United States (US)
Is PhillipCapital Regulated in United States? (SEC/NFA Compliance Audit)
Deterministic regulatory audit of PhillipCapital (Phillip Capital Inc.) against United States's national supervisor (U.S. Securities and Exchange Commission / National Futures Association (CFTC)), statutory investor compensation limits, and retail margin rules.
Coverage: United States (US) • Supervisor: SEC/NFA (Tier-1 Onshore)
- Local SEC/NFA Filings
- 0
- Total Global Licences
- 0
- 6D Overall Score
- 1.5
- Regime Classification
- Tier-1
Switch National Jurisdiction Audit (30 Statutory Regimes)
← Back to PhillipCapital Main DossierUnited States (SEC/NFA) Statutory Compliance Matrix for PhillipCapital
Side-by-side comparison of United States's statutory requirements against PhillipCapital's recorded filings.
| Statutory Dimension | United States (SEC/NFA) Mandate | PhillipCapital Recorded Standing |
|---|---|---|
| National Supervisory Authority | U.S. Securities and Exchange Commission / National Futures Association (CFTC) (SEC/NFA) | No Active Licence Recorded |
| Local Certificate Number(s) | Mandatory registration on official SEC/NFA public register | None recorded in United States |
| Statutory Investor Compensation Cap | $500,000 SIPC (Securities up to $250k cash; $0 statutory FX/Futures fund) | Not covered by United States domestic scheme when onboarded offshore |
| Retail Leverage & Margin Cap | 50:1 Major FX / 20:1 Minor FX (NFA Compliance Rule 2-36); 2:1 Reg T Equities | Governed by foreign/offshore subsidiary contract terms |
| Client Money Segregation Rule | CEA Section 4d Segregated Customer Funds & SEC Rule 15c3-3 Customer Protection | Verify daily trust reconciliation & negative balance protection in client agreement |
PhillipCapital — United States (SEC/NFA) Compliance Exhibit
Deterministic vector diagram of local licensing, investor protection, and leverage constraints.
Top 5 Regulated Peers for United States (SEC/NFA) Comparison
Benchmark PhillipCapital against peer institutions in our futures, options and derivatives providers slice.
| Institution | Recorded Licences | 6D Score | Risk Classification | |
|---|---|---|---|---|
| OANDA | ASICFSANFA | 9.1 | Risk level not supplied | |
| Straits Financial Group | CFTCMASNFA | 6.0 | Risk level not supplied | |
| StoneX One | NFAMASASIC | 5.0 | Risk level not supplied | |
| SCDEX | NFAFinCEN | 9.3 | Low risk | |
| ATC Brokers | NFACIMAFinancial Conduct Authority | 6.0 | Risk level not supplied |
PhillipCapital in United States (SEC/NFA): Frequently Asked Questions
Statutory licensing, compensation cap, and leverage answers.
Is PhillipCapital regulated in United States by SEC/NFA?
Our dataset currently holds 0 local SEC/NFA licences and 0 active foreign regulated licences for PhillipCapital. Residents of United States should verify primary authorisation directly on the SEC/NFA public register before transacting.
What is the investor compensation limit for United States residents using PhillipCapital?
Because PhillipCapital does not hold a recorded local SEC/NFA licence in our current snapshot, United States's domestic statutory compensation scheme ($500,000 SIPC (Securities up to $250k cash; $0 statutory FX/Futures fund)) does not cover accounts opened with PhillipCapital's foreign or offshore subsidiaries.
What retail leverage cap and margin rules apply in United States (SEC/NFA)?
U.S. Securities and Exchange Commission / National Futures Association (CFTC) (SEC/NFA) enforces the following retail leverage and margin standard in United States: 50:1 Major FX / 20:1 Minor FX (NFA Compliance Rule 2-36); 2:1 Reg T Equities, alongside client asset protection rules requiring CEA Section 4d Segregated Customer Funds & SEC Rule 15c3-3 Customer Protection.
Which regulated alternatives to PhillipCapital hold licences in United States or comparable tiers?
Comparable institutions in this directory include OANDA (9.1/10, 6 filings), Straits Financial Group (6.0/10, 3 filings), StoneX One (5.0/10, 5 filings), SCDEX (9.3/10, 2 filings), ATC Brokers (6.0/10, 3 filings). Use the 1v1 Compare links in the table above to benchmark PhillipCapital against each peer.
Structured against supervisory register snapshots and public regulatory filings. Verify your contracting legal entity and current authorisation status directly on the issuing regulator’s official register before transacting.