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All Regulators

The Financial Industry RegulatoryAuthorityFINRA

Financial Crimes Enforcement NetworkFinCEN

National Futures AssociationNFA

Securities and Futures Commission of Hong KongSFC

Australia Securities & Investment CommissionASIC

Financial Services AgencyFSA

Financial Conduct AuthorityFCA

National Commission for Companies and the Stock ExchangeCONSOB

Central Bank of RussiaCBR

Cyprus Securities and Exchange CommissionCYSEC

Federal Financial Supervisory AuthorityBaFin

The Autorité des Marchés FinanciersAMF

China Financial Futures ExchangeCFFEX

Swiss Financial Market Supervisory AuthorityFINMA

Financial Markets AuthorityFMA

The Chinese Gold & Silver Exchange SocietyCGSE

National Bank of the Republic of BelarusNBRB

Financial Sector Conduct AuthorityFSCA

Taipei ExchangeTPEx

Securities and Futures BureauSFB

Canadian Investment Regulatory OrganizationCIRO

Central Bank of IrelandCBI

Bank of LithuaniaLB

Securities and Exchange CommissionSEC

Monetary Authority of SingaporeMAS

Mwali International Services AuthorityMISA

Czech national bankCNB

The Securities Commission MalaysiaSCM

Labuan Financial Services AuthorityLFSA

Comisión Nacional del Mercado de valoresCNMV

Jakarta Futures ExchangeJFX

Securities and Commodities AuthoritySCA

The Financial Services CommissionFSC

Malta Financial Services AuthorityMFSA

Abu Dhabi Global MarketADGM

Dubai Financial Services AuthorityDFSA

Badan Pengawas Perdagangan Berjangka Komoditi Kementerian PerdaganganBAPPEBTI

Capital Markets Authority LEBANONCMA

The Israel Securities AuthorityISA

Indonesia Commodity and Derivatives ExchangeICDX

Portuguese Securities Market CommissionCMVM

Vanuatu Financial Services CommissionVFSC

The Securities Commission of The BahamasSCB

Cayman Islands Monetary AuthorityCIMA

Financial Services CommissionFSC

Financial Transactions and Reports Analysis Centre of CanadaFINTRAC

The Capital Market CommissionSCMN

British Virgin Islands Financial Services CommissionFSC

Anjouan Offshore Finance AuthorityAOFA

The Financial Supervision AuthorityFSA

Polish Financial Supervision AuthorityKNF

Securities and Exchange Regulator of CambodiaSERC

Financial Services AuthorityFSA

The Seychelles Financial Services AuthorityFSA

Put away
Selected Conditions
National Futures AssociationNFA
Reset
member 3
blacklist 17
information disclosure 17
Regulatory blacklist

IB

Hong Kong China Above 20 years
ASIC Market Making(MM)
Regulated
FCA Market Making(MM)
Regulated
Regulated in AustraliaRegulated in United KingdomRegulated in JapanRegulated in Hong Kong ChinaRegulated in CanadaRetail FXFutures & leveraged FXMMGlobal BusinessHong Kong China Futures & leveraged FX RevokedUnited States Common fin. UnauthorizedAustralia Inv. advsy RevokedSuspicious OverrunHigh potential risk
8.19
Score
Regulatory blacklist

Marex Spectron

United Kingdom 15-20 years
FCA Market Making(MM)
Regulated
SFC Dealing in futures contracts
Regulated
Regulated in Hong Kong ChinaRegulated in United KingdomRegulated in United StatesMMFutures contractsInv. advsyCommon fin.Suspicious Scope of BusinessSuspicious OverrunHigh potential risk
7.42
Score
Regulatory blacklist

ED&F Man

United Kingdom 5-10 years
SFC Dealing in futures contracts
Revoked
FCA Investment Advisory License
Unsubscribed
Suspicious Regulatory LicenseSuspicious Scope of BusinessHong Kong China Futures contracts RevokedUnited Arab Emirates Common fin. RevokedUnited Kingdom Inv. advsy UnsubscribedUnited States Common fin. UnauthorizedSuspicious OverrunHigh potential risk
1.53
Score
Regulatory blacklist

Northern Trust

United Kingdom 5-10 years
FCA Investment Advisory License
Exceeded
Regulated in United KingdomInv. advsyGlobal BusinessSuspicious OverrunHigh potential risk
1.53
Score
Regulatory blacklist

TF4L

United States 5-10 years
NFA Common Financial Service License
Suspicious Clone
Suspicious Regulatory LicenseSuspicious Scope of BusinessSuspicious OverrunHigh potential risk
1.52
Score
Regulatory blacklist

Coquest

United States 5-10 years
NFA Common Financial Service License
Suspicious Clone
Suspicious Regulatory LicenseSuspicious Scope of BusinessSuspicious OverrunHigh potential risk
1.52
Score
Regulatory blacklist

Edealfx

Saint Vincent and the Grenadines 5-10 years
Suspicious Regulatory LicenseWhite label MT4Regional BrokersHigh potential risk
1.52
Score
Regulatory blacklist

FIS

United Kingdom 5-10 years
Suspicious Regulatory LicenseSuspicious Scope of BusinessHigh potential risk
1.52
Score
Regulatory blacklist

Tullett Prebon

United Kingdom 5-10 years
FCA Investment Advisory License
Suspicious Clone
Suspicious Regulatory LicenseSuspicious Scope of BusinessSuspicious OverrunHigh potential risk
1.52
Score
Regulatory blacklist

STAGE FIVE

United States 5-10 years
NFA Common Financial Service License
Suspicious Clone
Suspicious Regulatory LicenseSuspicious Scope of BusinessSuspicious OverrunHigh potential risk
1.51
Score
Regulatory blacklist

Sierra Futures

United States 5-10 years
NFA Common Financial Service License
Suspicious Clone
Suspicious Regulatory LicenseSuspicious Scope of BusinessSuspicious OverrunHigh potential risk
1.51
Score
Regulatory blacklist

Direct Hedge

Denmark 5-10 years
Suspicious Regulatory LicenseSuspicious Scope of BusinessHigh potential risk
1.51
Score

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All Regulators The Financial Industry RegulatoryAuthorityFINRA Financial Crimes Enforcement NetworkFinCEN National Futures AssociationNFA Securities and Futures Commission of Hong KongSFC Australia Securities & Investment CommissionASIC Financial Services AgencyFSA Financial Conduct AuthorityFCA National Commission for Companies and the Stock ExchangeCONSOB Central Bank of RussiaCBR Cyprus Securities and Exchange CommissionCYSEC Federal Financial Supervisory AuthorityBaFin The Autorité des Marchés FinanciersAMF China Financial Futures ExchangeCFFEX Swiss Financial Market Supervisory AuthorityFINMA Financial Markets AuthorityFMA The Chinese Gold & Silver Exchange SocietyCGSE National Bank of the Republic of BelarusNBRB Financial Sector Conduct AuthorityFSCA Taipei ExchangeTPEx Securities and Futures BureauSFB Canadian Investment Regulatory OrganizationCIRO Central Bank of IrelandCBI Bank of LithuaniaLB Securities and Exchange CommissionSEC Monetary Authority of SingaporeMAS Mwali International Services AuthorityMISA Czech national bankCNB The Securities Commission MalaysiaSCM Labuan Financial Services AuthorityLFSA Comisión Nacional del Mercado de valoresCNMV Jakarta Futures ExchangeJFX Securities and Commodities AuthoritySCA The Financial Services CommissionFSC Malta Financial Services AuthorityMFSA Abu Dhabi Global MarketADGM Dubai Financial Services AuthorityDFSA Badan Pengawas Perdagangan Berjangka Komoditi Kementerian PerdaganganBAPPEBTI Capital Markets Authority LEBANONCMA The Israel Securities AuthorityISA Indonesia Commodity and Derivatives ExchangeICDX Portuguese Securities Market CommissionCMVM Vanuatu Financial Services CommissionVFSC The Securities Commission of The BahamasSCB Cayman Islands Monetary AuthorityCIMA Financial Services CommissionFSC Financial Transactions and Reports Analysis Centre of CanadaFINTRAC The Capital Market CommissionSCMN British Virgin Islands Financial Services CommissionFSC Anjouan Offshore Finance AuthorityAOFA The Financial Supervision AuthorityFSA Polish Financial Supervision AuthorityKNF Securities and Exchange Regulator of CambodiaSERC Financial Services AuthorityFSA The Seychelles Financial Services AuthorityFSA
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