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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

BANQUE DU LIBANBDL

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

The Astana Financial Services AuthorityAFSA

Financial Supervisory ServiceFSS

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Selected Conditions
National Futures AssociationNFA
Reset
member 2
Blacklist 17
information disclosure 17
Regulatory blacklist

IB

Hong Kong Above 20 years
ASIC Market Making(MM)
Regulated
FCA Market Making(MM)
Regulated
Regulated in AustraliaRegulated in United KingdomRegulated in JapanRegulated in Hong KongRegulated in CanadaRegulated in United StatesMarket Making(MM)Retail Forex LicenseDealing in futures contracts & Leveraged foreign exchange tradingCommon Financial Service LicenseSelf-developedGlobal BusinessHong Kong Dealing in futures contracts & Leveraged foreign exchange trading RevokedAustralia Investment Advisory License RevokedSuspicious OverrunHigh potential risk
8.20
Score
Regulatory blacklist

Marex Spectron

United Kingdom 15-20 years
FCA Market Making(MM)
Regulated
SFC Dealing in futures contracts
Regulated
Regulated in United KingdomRegulated in Hong KongMarket Making(MM)Dealing in futures contractsInvestment Advisory LicenseSuspicious Scope of BusinessSuspicious OverrunHigh potential risk
7.39
Score
Regulatory blacklist

ED&F Man

United Kingdom 5-10 years
SFC Dealing in futures contracts
Revoked
FCA Institution Forex License
Unsubscribed
Suspicious Regulatory LicenseSuspicious Scope of BusinessHong Kong Dealing in futures contracts RevokedUnited Arab Emirates Common Financial Service License RevokedUnited Kingdom Institution Forex License UnsubscribedUnited States Common Financial Service License UnauthorizedSuspicious OverrunHigh potential risk
1.55
Score
Regulatory blacklist

Northern Trust

United Kingdom 5-10 years
FCA Investment Advisory License
Over-Operation
Regulated in United KingdomInvestment Advisory LicenseGlobal BusinessSuspicious OverrunHigh potential risk
1.55
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
1.54
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
1.54
Score
Regulatory blacklist

Edealfx

Saint Vincent and the Grenadines 5-10 years
Suspicious Regulatory LicenseSuspicious Scope of BusinessHigh potential risk
1.54
Score
Regulatory blacklist

FIS

United Kingdom 5-10 years
Suspicious Regulatory LicenseSuspicious Scope of BusinessHigh potential risk
1.54
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
1.54
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
1.53
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
1.53
Score
Regulatory blacklist

Direct Hedge

Denmark 5-10 years
Suspicious Regulatory LicenseSuspicious Scope of BusinessHigh potential risk
1.53
Score

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