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 |
|---|---|---|---|---|---|
| Kraken | 967575 | Regulated | Kraken | 2022-01-14 | |
| eToro | 583263 | Regulated | eToro (UK) Ltd | 2013-05-09 | |
| Finalto | 481853 | Regulated | Finalto Financial Services Limited | 2008-09-08 | |
| Finalto | 607305 | Regulated | Finalto Trading Limited | 2014-09-04 | |
| Paysafe | 900015 | Regulated | Paysafe | 2021-12-11 | |
| MUFG Bank | 139189 | Regulated | MUFG BANK, LTD | 2001-01-12 | |
| Skrill | 900001 | Regulated | Skrill | 2021-12-11 | |
| Bank of Scotland | 169628 | Regulated | Bank of Scotland plc | 2001-01-21 | |
| Barclays | 122702 | Regulated | Barclays Bank Plc | 2001 | |
| HSBC Bank plc | 114216 | Regulated | HSBC Bank Plc | — | |
| NatWest | 121878 | Regulated | NATIONAL WESTMINSTER BANK PUBLIC LIMITED COMPANY | 2019-08-09 | |
| Revolut | 975775 | Regulated | Revolut Ltd | 2019-09-09 | |
| Revolut | 780586 | Regulated | Revolut Travel Ltd | 2017-09-21 | |
| Standard Chartered | 114276 | Regulated | Standard Chartered Bank | 2001-01-12 | |
| Starling Bank | 730166 | Regulated | Starling Bank Limited | 2016-07-12 | |
| Ulster Bank | Not supplied | Regulated | Ulster Bank | — | |
| CBCX | 572911 | Regulated | CBCX MARKETS UK LIMITED | 2012-08-23 | |
| EC Markets | 571881 | Regulated | EC Markets Group Ltd | 2012-08-08 | |
| eToro | 583263 | Regulated | eToro (UK) Ltd | 2013-05-09 | |
| CXM Direct | 966753 | Regulated | CXM Prime Ltd | 2022-12-20 | |
| Trading 212 | 609146 | Regulated | Trading 212 UK Limited | 2014-10-01 | |
| ZFX | 768451 | Regulated | Zeal Capital Market (UK) Limited | 2017-09-04 | |
| Freetrade | 783189 | Regulated | Freetrade Limited | 2017-02-10 | |
| iDealing.com | 191660 | Regulated | iDealing.com Limited | 2001-12-01 | |
| InvestEngine | 801128 | Regulated | InvestEngine (UK) Limited | 2019-07-01 | |
| Swissquote | 562170 | Regulated | Swissquote Ltd | 2012-05-02 | |
| Swissquote | 562170 | Suspected clone | Swissquote Ltd | 2012-05-02 | |
| Wealthify | 662530 | Regulated | Wealthify Limited | 2015-12-10 | |
| Dupoin | 622574 | Regulated | Dupoin UK Ltd | 2014-11-18 | |
| dlocal | 1007955 | Regulated | Dlocal | 2024-12-17 | |
| Exinity | 777911 | Suspected clone | Exinity UK Ltd | 2018-02-01 | |
| Kyte | 174863 | Exceeded scope | Kyte Broking Limited | 2001-12-01 | |
| Bestinvest | 125308 | Regulated | Evelyn Partners Investment Management Services Limited | 2001-12-01 | |
| Gildencrest Capital | 564741 | Regulated | Gildencrest Capital Limited | 2012-05-30 | |
| Land-FX | 709866 | Regulated | LandFX UK Limited | 2016-06-07 | |
| Marex Spectron | 442767 | Regulated | MAREX FINANCIAL | 2006-01-13 | |
| Vanguard Investor UK | 527839 | Regulated | Vanguard Asset Management, Ltd | 2011-01-24 | |
| WiseAlpha | 751087 | Regulated | WiseAlpha Technologies Limited | 2016-09-15 | |
| Nuvei | 994233 | Regulated | Nuvei Financial Services Limited | — | |
| Axi | 466201 | Regulated | Axi Financial Services (UK) Limited | 2007-08-16 | |
| Ignite Broker | 969303 | Regulated | Ignite (Grantham) Limited | 2015-06-10 | |
| VARIANSE | 802012 | Regulated | VDX Limited | 2018-09-17 | |
| Zenfinex | 816055 | Suspected clone | Zenfinex Limited | 2019-03-11 | |
| Adyen | 779800 | Regulated | Adyen | 2023-09-06 | |
| Nedbank Group | 204684 | Regulated | Nedbank Limited | 2001-12-01 | |
| Worldpay | 07316500 | Regulated | Worldpay | 2018-4-13 | |
| Ziraat bank | 204705 | Regulated | T C Ziraat Bankasi AS | 2001-12-01 | |
| Abshire-Smith | 590890 | Revoked | Abshire-Smith Global Ltd | — | |
| AGL | 580056 | Regulated | ABans Global Limited | 2013-04-02 | |
| Capital Markets | 583632 | Regulated | Capital Markets Elite Group (UK) Limited | 2013-02-01 | |
| Danske Bank (Northern Ireland) | Not supplied | Regulated | Danske Bank (Northern Ireland) | — | |
| Doo Clearing Limited | 833414 | Status not supplied | DOO Clearing Limited | 2019-06-17 | |
| Fidelity International | 122169 | Regulated | Financial Administration Services Limited | — | |
| 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 | |
| Land Prime | 709866 | Regulated | LandFX UK Limited | 2016-06-07 | |
| MoonPay | 944716 | Regulated | MoonPay (UK) Limited | 2022-09-12 | |
| RBS BANK | 785096 | Regulated | Royal Bank of Scotland (industrial Leasing) Ltd | 2018-02-23 | |
| True Potential | 527444 | Regulated | True Potential Investments LLP | 2019-08-20 | |
| TS CAPITAL | 447281 | Revoked | TS CAPITAL LIMITED | 2006-05-16 | |
| X Open Hub | 522157 | Regulated | XTB Limited | 2011-01-17 | |
| FXGiants | 585561 | Suspected clone | Notesco Limited | 2013-06-17 | |
| Guardian Stockbrokers | 492519 | Exceeded scope | Guardian Stockbrokers Ltd | 2009-04-27 | |
| Moneyfarm | 629539 | Regulated | MFM Investment Ltd | 2015-07-08 | |
| Neteller | 229737 | Expired | Neteller | — | |
| MARKETS.COM | 481853 | Regulated | Finalto Financial Services Limited | 2008-09-08 | |
| Astral | 801104 | Exceeded scope | Astral Financial Ltd | 2018-04-18 | |
| BCB | Not supplied | Regulated | BCB Blockchain Group | — | |
| CFSM Trader | 171480 | Suspected clone | CFS Management Ltd | 2001-12-01 | |
| FCI Markets | 616985 | Regulated | Foreign Currency Innovations Limited | 2014-07-10 | |
| 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 | |
| Novion | 843506 | Registered | NOVION GLOBAL LTD | — | |
| Nutmeg | 552016 | Regulated | Nutmeg Saving and Investment Limited | — | |
| Varchev | 494045 | Revoked | Varchev Finance Ltd | 2008-12-31 | |
| Trilt | 750779 | Revoked | TRILT LTD | 2016-06-23 | |
| CIX Markets | 232015 | No licence | City Credit Capital (UK) Ltd | 2004-11-10 | |
| UBFX | 795937 | Cancelled | UBFX | 2017-12-07 |
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.
Related regulatory & market structure briefings
Research and compliance analysis from QuantCalc Tools relevant to Financial Conduct Authority (UK) and Global Jurisdiction.
Quantitative Risk & Capital Modeling
Basel III Endgame FRTB & ISDA SIMM v2.6+ Quantitative Calibration: Expected Shortfall, Non-Modellable Risk Factors (NMRF), and Cross-Margin Capital Optimization (2026)
Complete quantitative specification of BCBS MAR20-MAR33 Fundamental Review of the Trading Book (FRTB), 97.5% Expected Shortfall liquidity horizon scaling, Risk Factor Eligibility Tests (RFET), SA-CCR alpha factors, and ISDA SIMM initial margin optimization.
Quantitative Pricing & Options Engines
NY Fed SOFR Index ACT/360 In-Arrears Compounding Engine: Cross-Margining & Capital Efficiency Optimization (4.4151% 90-Day Annualized Benchmark)
NY Fed SOFR Index ACT/360 In-Arrears Compounding Engine (SOFR-INDEX-ACT360) stands at 4.4151% (90-Day Annualized) (Source: NY Fed Reference Rates, 2026-10-20), governing inter-commodity correlation offsets and liquidity
Risk-Adjusted Performance Benchmarks
NY Fed SOFR Index ACT/360 In-Arrears Compounding Engine: Model Risk Management (SR 11-7) Validation Benchmarks (4.4151% 90-Day Annualized Benchmark)
NY Fed SOFR Index ACT/360 In-Arrears Compounding Engine (SOFR-INDEX-ACT360) stands at 4.4151% (90-Day Annualized) (Source: NY Fed Reference Rates, 2026-10-20), governing backtesting Kupiec POF exceptions and Christoffers
Fixed Income Duration & Portfolio Risk
CME SPAN 2 Historical & Stress Value-at-Risk (VaR) Model: Cross-Margining & Capital Efficiency Optimization (6.26% Initial Margin / Notional Benchmark)
CME SPAN 2 Historical & Stress Value-at-Risk (VaR) Model (CME-SPAN2-VAR) stands at 6.26% (Initial Margin / Notional) (Source: CME Clearing, 2026-10-20), governing inter-commodity correlation offsets and liquidity add-on
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.