National Supervisory Authority & Licensing Qualification Dossier • Asia-Pacific
Financial Conduct Authority (UK)
Global Jurisdiction- Supervisory tier
- Tier-2
- License classes
- 2
- Licensed records
- 83
- Active / regulated
- 58
Statutory Supervisory Mandate & Scope
Financial Conduct Authority (UK) operates as a statutory financial supervisory authority regulating financial institutions in 0 (GB). The authority oversees entity licensing, capital adequacy compliance, conduct supervision, and enforcement disclosures via its official registry at fca.org.uk.
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 |
|---|---|---|---|---|---|
| Kyte | 174863 | Exceeded scope | Kyte Broking Limited | 2001-12-01 | |
| iDealing.com | 191660 | Regulated | iDealing.com Limited | 2001-12-01 | |
| TradeStation | 445531 | Exceeded scope | TradeStation International Ltd | 2006-02-21 | |
| Kraken(Cross-jurisdiction record) | 967575 | Regulated | Kraken | 2022-01-14 | |
| eToro(Cross-jurisdiction record) | 583263 | Regulated | eToro (UK) Ltd | 2013-05-09 | |
| CBCX(Cross-jurisdiction record) | 572911 | Regulated | CBCX MARKETS UK LIMITED | 2012-08-23 | |
| EC Markets(Cross-jurisdiction record) | 571881 | Regulated | EC Markets Group Ltd | 2012-08-08 | |
| eToro(Cross-jurisdiction record) | 583263 | Regulated | eToro (UK) Ltd | 2013-05-09 | |
| CXM Direct(Cross-jurisdiction record) | 966753 | Regulated | CXM Prime Ltd | 2022-12-20 | |
| Trading 212(Cross-jurisdiction record) | 609146 | Regulated | Trading 212 UK Limited | 2014-10-01 | |
| ZFX(Cross-jurisdiction record) | 768451 | Regulated | Zeal Capital Market (UK) Limited | 2017-09-04 | |
| Freetrade(Cross-jurisdiction record) | 783189 | Regulated | Freetrade Limited | 2017-02-10 | |
| InvestEngine(Cross-jurisdiction record) | 801128 | Regulated | InvestEngine (UK) Limited | 2019-07-01 | |
| Swissquote(Cross-jurisdiction record) | 562170 | Regulated | Swissquote Ltd | 2012-05-02 | |
| Swissquote(Cross-jurisdiction record) | 562170 | Suspected clone | Swissquote Ltd | 2012-05-02 | |
| Wealthify(Cross-jurisdiction record) | 662530 | Regulated | Wealthify Limited | 2015-12-10 | |
| Dupoin(Cross-jurisdiction record) | 622574 | Regulated | Dupoin UK Ltd | 2014-11-18 | |
| Finalto(Cross-jurisdiction record) | 481853 | Regulated | Finalto Financial Services Limited | 2008-09-08 | |
| Finalto(Cross-jurisdiction record) | 607305 | Regulated | Finalto Trading Limited | 2014-09-04 | |
| dlocal(Cross-jurisdiction record) | 1007955 | Regulated | Dlocal | 2024-12-17 | |
| Exinity(Cross-jurisdiction record) | 777911 | Suspected clone | Exinity UK Ltd | 2018-02-01 | |
| Bestinvest(Cross-jurisdiction record) | 125308 | Regulated | Evelyn Partners Investment Management Services Limited | 2001-12-01 | |
| Gildencrest Capital(Cross-jurisdiction record) | 564741 | Regulated | Gildencrest Capital Limited | 2012-05-30 | |
| Land-FX(Cross-jurisdiction record) | 709866 | Regulated | LandFX UK Limited | 2016-06-07 | |
| Marex Spectron(Cross-jurisdiction record) | 442767 | Regulated | MAREX FINANCIAL | 2006-01-13 | |
| Vanguard Investor UK(Cross-jurisdiction record) | 527839 | Regulated | Vanguard Asset Management, Ltd | 2011-01-24 | |
| WiseAlpha(Cross-jurisdiction record) | 751087 | Regulated | WiseAlpha Technologies Limited | 2016-09-15 | |
| Paysafe(Cross-jurisdiction record) | 900015 | Regulated | Paysafe | 2021-12-11 | |
| Nuvei(Cross-jurisdiction record) | 994233 | Regulated | Nuvei Financial Services Limited | — | |
| MUFG Bank(Cross-jurisdiction record) | 139189 | Regulated | MUFG BANK, LTD | 2001-01-12 | |
| Axi(Cross-jurisdiction record) | 466201 | Regulated | Axi Financial Services (UK) Limited | 2007-08-16 | |
| Ignite Broker(Cross-jurisdiction record) | 969303 | Regulated | Ignite (Grantham) Limited | 2015-06-10 | |
| Skrill(Cross-jurisdiction record) | 900001 | Regulated | Skrill | 2021-12-11 | |
| VARIANSE(Cross-jurisdiction record) | 802012 | Regulated | VDX Limited | 2018-09-17 | |
| Zenfinex(Cross-jurisdiction record) | 816055 | Suspected clone | Zenfinex Limited | 2019-03-11 | |
| Adyen(Cross-jurisdiction record) | 779800 | Regulated | Adyen | 2023-09-06 | |
| Bank of Scotland(Cross-jurisdiction record) | 169628 | Regulated | Bank of Scotland plc | 2001-01-21 | |
| Barclays(Cross-jurisdiction record) | 122702 | Regulated | Barclays Bank Plc | 2001 | |
| HSBC Bank plc(Cross-jurisdiction record) | 114216 | Regulated | HSBC Bank Plc | — | |
| NatWest(Cross-jurisdiction record) | 121878 | Regulated | NATIONAL WESTMINSTER BANK PUBLIC LIMITED COMPANY | 2019-08-09 | |
| Nedbank Group(Cross-jurisdiction record) | 204684 | Regulated | Nedbank Limited | 2001-12-01 | |
| Revolut(Cross-jurisdiction record) | 975775 | Regulated | Revolut Ltd | 2019-09-09 | |
| Revolut(Cross-jurisdiction record) | 780586 | Regulated | Revolut Travel Ltd | 2017-09-21 | |
| Standard Chartered(Cross-jurisdiction record) | 114276 | Regulated | Standard Chartered Bank | 2001-01-12 | |
| Starling Bank(Cross-jurisdiction record) | 730166 | Regulated | Starling Bank Limited | 2016-07-12 | |
| Ulster Bank(Cross-jurisdiction record) | Not supplied | Regulated | Ulster Bank | — | |
| Worldpay(Cross-jurisdiction record) | 07316500 | Regulated | Worldpay | 2018-4-13 | |
| Ziraat bank(Cross-jurisdiction record) | 204705 | Regulated | T C Ziraat Bankasi AS | 2001-12-01 | |
| AGL(Cross-jurisdiction record) | 580056 | Regulated | ABans Global Limited | 2013-04-02 | |
| Abshire-Smith(Cross-jurisdiction record) | 590890 | Revoked | Abshire-Smith Global Ltd | — | |
| Capital Markets(Cross-jurisdiction record) | 583632 | Regulated | Capital Markets Elite Group (UK) Limited | 2013-02-01 | |
| Danske Bank (Northern Ireland)(Cross-jurisdiction record) | Not supplied | Regulated | Danske Bank (Northern Ireland) | — | |
| Doo Clearing Limited(Cross-jurisdiction record) | 833414 | Status not supplied | DOO Clearing Limited | 2019-06-17 | |
| Fidelity International(Cross-jurisdiction record) | 122169 | Regulated | Financial Administration Services Limited | — | |
| ForexMart(Cross-jurisdiction record) | 728735 | Unauthorised | INSTANT TRADING EU LTD | 2015-12-11 | |
| Interactive Investor(Cross-jurisdiction record) | 141282 | Suspected clone | Interactive Investor Services Limited | 2001-12-01 | |
| KQ Markets(Cross-jurisdiction record) | 780026 | Suspected clone | KQ Markets Limited | 2018-01-02 | |
| Land Prime(Cross-jurisdiction record) | 709866 | Regulated | LandFX UK Limited | 2016-06-07 | |
| MoonPay(Cross-jurisdiction record) | 944716 | Regulated | MoonPay (UK) Limited | 2022-09-12 | |
| RBS BANK(Cross-jurisdiction record) | 785096 | Regulated | Royal Bank of Scotland (industrial Leasing) Ltd | 2018-02-23 | |
| TS CAPITAL(Cross-jurisdiction record) | 447281 | Revoked | TS CAPITAL LIMITED | 2006-05-16 | |
| True Potential(Cross-jurisdiction record) | 527444 | Regulated | True Potential Investments LLP | 2019-08-20 | |
| X Open Hub(Cross-jurisdiction record) | 522157 | Regulated | XTB Limited | 2011-01-17 | |
| FXGiants(Cross-jurisdiction record) | 585561 | Suspected clone | Notesco Limited | 2013-06-17 | |
| Guardian Stockbrokers(Cross-jurisdiction record) | 492519 | Exceeded scope | Guardian Stockbrokers Ltd | 2009-04-27 | |
| Moneyfarm(Cross-jurisdiction record) | 629539 | Regulated | MFM Investment Ltd | 2015-07-08 | |
| Neteller(Cross-jurisdiction record) | 229737 | Expired | Neteller | — | |
| MARKETS.COM(Cross-jurisdiction record) | 481853 | Regulated | Finalto Financial Services Limited | 2008-09-08 | |
| Astral(Cross-jurisdiction record) | 801104 | Exceeded scope | Astral Financial Ltd | 2018-04-18 | |
| BCB(Cross-jurisdiction record) | Not supplied | Regulated | BCB Blockchain Group | — | |
| CFSM Trader(Cross-jurisdiction record) | 171480 | Suspected clone | CFS Management Ltd | 2001-12-01 | |
| FCI Markets(Cross-jurisdiction record) | 616985 | Regulated | Foreign Currency Innovations Limited | 2014-07-10 | |
| GTM(Cross-jurisdiction record) | 801104 | Suspected clone | GLOBAL TRANSACTION MARKET | 2018-04-18 | |
| Global Markets Group(Cross-jurisdiction record) | 744501 | Suspected clone | Global Markets Group Limited | 2016-09-12 | |
| Novion(Cross-jurisdiction record) | 843506 | Registered | NOVION GLOBAL LTD | — | |
| Nutmeg(Cross-jurisdiction record) | 552016 | Regulated | Nutmeg Saving and Investment Limited | — | |
| Varchev(Cross-jurisdiction record) | 494045 | Revoked | Varchev Finance Ltd | 2008-12-31 | |
| huitong(Cross-jurisdiction record) | 149028 | Suspected clone | Monument Securities Limited | 2013-04-01 | |
| Trilt(Cross-jurisdiction record) | 750779 | Revoked | TRILT LTD | 2016-06-23 | |
| CIX Markets(Cross-jurisdiction record) | 232015 | No licence | City Credit Capital (UK) Ltd | 2004-11-10 |
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) 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.
Related regulatory & market structure briefings
Research and compliance analysis from VolSurface Desk relevant to Financial Conduct Authority (UK) and Global Jurisdiction.
Market Insights
Market positioning risks mount as macro hedge funds face worst stretch in years
Market positioning risks mount as macro hedge funds face worst stretch in years: Institutional summary of the supplied primary disclosure. Cross-reference official supervisory registers for live updates.
Market Insights
Top Wall Street analysts are bullish on these 3 stocks for strong long-term growth potential
Top Wall Street analysts are bullish on these stocks for strong long-term growth potential: Amid volatility in global markets, top analysts can help investors look past near-term noise and pick attractive stocks with long-term potential.
Market Insights
Top Wall Street analysts are confident about these 3 stocks for the long haul
Top Wall Street analysts are confident about these stocks for the long haul: Those looking for attractive stock picks amid the ongoing volatility can gain key insights by tracking the recommendations of top Wall Street analysts.
Market Insights
Top Wall Street analysts are bullish on the growth potential of these 3 stocks
Top Wall Street analysts are bullish on the growth potential of these stocks: Amid fear of rate hikes and oil prices, investors can look past volatility and track Street analysts' stock picks with strong long-term growth potential.
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.