Institution record
IB
Interactive Brokers Hong Kong Limited
- Source score
- 8.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (stock brokers, investment platforms and wealth managers) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
In our coverage Investment Industry Regulatory Organization of Canada | Not supplied | Regulated | Interactive Brokers Canada Inc. | — | |
In our coverage Financial Conduct Authority | 208159 | Regulated | Interactive Brokers (UK) Ltd | 2002-02-06 | |
In our coverage Australian Securities and Investments Commission | 453554 | Regulated | INTERACTIVE BROKERS AUSTRALIA PTY LTD | 2016-07-28 | |
Monetary Authority of Singapore | CMS100917 | Regulated | INTERACTIVE BROKERS SINGAPORE PTE. LTD. | — | |
Financial Services Agency | Kanto Local Finance Bureau (FIBO) No. 187 | Regulated | Interactive Brokers Securities Co., Ltd. | 2007-09-30 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing IB against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| IB (this record) | IIROCFinancial Conduct AuthorityASIC+2 | 5 / 5 | Risk level not supplied | 8.0 | 0 |
SCBIIROCU.S. Securities and Exchange Commission (SEC)+1 | 3 / 4 | Risk level not supplied | 5.0 | 0 | |
Financial Conduct AuthorityCYSECMFSA | 3 / 3 | Risk level not supplied | 6.0 | 0 | |
Financial Conduct Authority | 1 / 1 | Risk level not supplied | 6.0 | 0 | |
ASIC | 0 / 1 | Risk level not supplied | 2.0 | 0 | |
MAS | 1 / 1 | Risk level not supplied | 2.0 | 0 |
IB: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is IB's regulatory licence status and supervisory authorisation?
In our imported dataset, IB (legal entity reference: Interactive Brokers Hong Kong Limited) holds 5 recorded licence entries, of which 5 carry a "regulated" status and 5 are marked regulated or registered: IIROC (Investment Industry Regulatory Organization of Canada) — licence Not supplied, status: regulated; Financial Conduct Authority — licence 208159, status: regulated; ASIC (Australian Securities and Investments Commission) — licence 453554, status: regulated; MAS (Monetary Authority of Singapore) — licence CMS100917, status: regulated; FSA (Financial Services Agency) — licence Kanto Local Finance Bureau (FIBO) No. 187, status: regulated. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official IIROC, Financial Conduct Authority, ASIC public register.
Which of IB's jurisdictions and licences fall within this site's regulatory coverage?
This directory focuses on stock brokers, investment platforms and wealth managers. 3 of IB's 5 licence records fall directly within this jurisdictional mandate: IIROC (licence Not supplied, regulated, entity: Interactive Brokers Canada Inc.); Financial Conduct Authority (licence 208159, regulated, entity: Interactive Brokers (UK) Ltd); ASIC (licence 453554, regulated, entity: INTERACTIVE BROKERS AUSTRALIA PTY LTD). Always confirm whether client money segregation and statutory investor compensation schemes apply to the specific subsidiary onboarding your account.
What is IB's institutional risk classification, enforcement exposure, and score profile?
IB carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 8.0, risk & licensing: 8.0, brand: 8.0, market influence: 8.0, user reputation: 0.0). The record flags 0 regulatory warning or complaint counts. Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to IB's platforms, entity structure, and complaints?
Before allocating capital or executing trades with IB (listed execution software: MT4, MT5), institutional and retail allocators should: (1) confirm the domain (not supplied in source) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to IIROC.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from ETFYield Lab relevant to IB's supervisory scope.
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