Institution record
OANDA
OANDA AUSTRALIA PTY LTD
- Source score
- —
- 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 | |
|---|---|---|---|---|---|
IIROCTier-1 Investment Industry Regulatory Organization of Canada | Number pending check | Regulated | OANDA (Canada) Corporation ULC | — | |
NFATier-2 National Futures Association | 0325821 | Regulated | OANDA CORPORATION | 2003-03-14 | |
ASICTier-1 Australian Securities and Investments Commission | 412981 | Regulated | OANDA AUSTRALIA PTY LTD | 2012-03-26 | |
MASTier-1 Monetary Authority of Singapore | Number pending check | Regulated | OANDA ASIA PACIFIC PTE. LTD. | — | |
FCATier-1 Financial Conduct Authority | 542574 | Regulated | OANDA Europe Limited | 2011-05-17 | |
FSATier-1 Financial Services Agency | Kanto Local Finance Bureau (FIBO) No. 2137 | Regulated | OANDA Japan Inc | 2009-03-02 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing OANDA against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| OANDA (this record) | IIROCNFAASIC+3 | 6 / 6 | Risk level not supplied | — | 0 |
| Robinhood | FINRASECSEC+6 | 9 / 9 | Risk level not supplied | — | 0 |
| Doo Prime | FCAFINRASEC+4 | 7 / 7 | Risk level not supplied | — | 1 |
| Swissquote | FCASFCCYSEC+3 | 5 / 6 | Risk level not supplied | — | 0 |
| EC Markets | FMAFCAASIC+2 | 3 / 5 | Risk level not supplied | — | 0 |
| IB | IIROCFCAASIC+2 | 5 / 5 | Risk level not supplied | — | 0 |
OANDA: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is OANDA's regulatory licence status and supervisory authorisation?
In our imported dataset, OANDA (legal entity reference: OANDA AUSTRALIA PTY LTD) holds 6 recorded licence entries, of which 6 carry a "regulated" status and 6 are marked regulated or registered: IIROC (Investment Industry Regulatory Organization of Canada) — licence Number pending check, status: regulated, Tier-1; NFA (National Futures Association) — licence 0325821, status: regulated, Tier-2; ASIC (Australian Securities and Investments Commission) — licence 412981, status: regulated, Tier-1; MAS (Monetary Authority of Singapore) — licence Number pending check, status: regulated, Tier-1; FCA (Financial Conduct Authority) — licence 542574, status: regulated, Tier-1; FSA (Financial Services Agency) — licence Kanto Local Finance Bureau (FIBO) No. 2137, status: regulated, Tier-1. 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, NFA, ASIC public register.
Which of OANDA's jurisdictions and licences fall within this site's regulatory coverage?
OANDA is registered at OANDA AUSTRALIA PTY LTD, 'Grosvenor Place' Level 43, 225 George Street SYDNEY NSW 2000 and tracked under our stock brokers, investment platforms and wealth managers scope based on its institutional service profile (Precious metals, Indices, Forex, Commodities, Bonds) rather than a domestic focus licence. Its 6 recorded licences (IIROC, NFA, ASIC, MAS, FCA, FSA) should be evaluated for cross-border passporting and local solicitation rules.
What is OANDA's institutional risk classification, enforcement exposure, and score profile?
OANDA carries a "risk level not supplied" classification in the source dataset (composite numeric scores are not supplied for this record). 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 OANDA's platforms, entity structure, and complaints?
Before allocating capital or executing trades with OANDA, institutional and retail allocators should: (1) confirm the domain (oanda.com) 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 OANDA's supervisory scope.
Fixed Income ETFs & Market Microstructure
SEC Rule 6c-11 Custom Creation Baskets, Fixed-Income ETF NAV Arbitrage & After-Tax Yield Drag Model (2026)
Authorized Participant (AP) custom creation and redemption baskets under SEC Rule 6c-11 refer to non-pro-rata fixed-income portfolio transfers that allow ETF issuers to purge low-basis, illiquid, or off-the-run bonds in-kind without realizing distributable capital gains, compressing annualized after-tax yield drag by 42 to 118 basis points compared with open-end mutual funds.
ETF Fee Drag & SEC Yield Audits
iShares iBonds & Invesco BulletShares Target-Maturity Bond Ladders: 30-Day SEC Yield vs. Trailing 12-Month Distribution Yield Audit (4.22% Held-to-Maturity Net YTW Benchmark)
iShares iBonds & Invesco BulletShares Target-Maturity Bond Ladders (IBOND-TARGET-MAT) stands at 4.22% (Held-to-Maturity Net YTW) (Source: SEC Form N-1A Target-Date Filings, 2026-10-20), governing Form N-1A Item 26 accrua
Corporate & Municipal Bond ETFs
iShares iBonds & Invesco BulletShares Target-Maturity Bond Ladders: 10-Year Expense Ratio Fee Drag & Compounding Simulation ($100k) (4.22% Held-to-Maturity Net YTW Benchmark)
iShares iBonds & Invesco BulletShares Target-Maturity Bond Ladders (IBOND-TARGET-MAT) stands at 4.22% (Held-to-Maturity Net YTW) (Source: SEC Form N-1A Target-Date Filings, 2026-10-20), governing basis-point fee differen
Treasury Ladders & Yield Math
iShares iBonds & Invesco BulletShares Target-Maturity Bond Ladders: Modified Duration, DV01 & +/-100 bps Parallel Yield Shock Table (4.22% Held-to-Maturity Net YTW Benchmark)
iShares iBonds & Invesco BulletShares Target-Maturity Bond Ladders (IBOND-TARGET-MAT) stands at 4.22% (Held-to-Maturity Net YTW) (Source: SEC Form N-1A Target-Date Filings, 2026-10-20), governing second-order Taylor seri