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Institution record

ADSS

ADS Securities LLC

Risk level not supplied2 of 2 licences marked regulated
Source score
—
Warnings
0
Comments
0

Licence records

Licences within our coverage (banks and deposit-taking institutions) are listed first. Check each one on the regulator's own register.

RegulatorLicence no.StatusLicensed entityDate
FCATier-1
Financial Conduct Authority
577453RegulatedADS SECURITIES LONDON LIMITED2012-07-24
SCATier-2
Securities and Commodities Authority
1190047RegulatedADS SECURITIES - LLC2010-09-23

Peer regulatory & risk comparison

Side-by-side supervisory and risk benchmark comparing ADSS against peer institutions in our banks and deposit-taking institutions dataset.

Full directory →
InstitutionPrimary regulatorsRegulated / totalRisk classificationSource scoreWarnings
ADSS (this record)
FCASCA
2 / 2Risk level not supplied—0
Al Rayan Bank
PRAFCA
2 / 2Risk level not supplied—0
Emirates Investment Bank
CBUAESCA
2 / 2Risk level not supplied—0
Lloyds Bank
PRAFCA
2 / 2Risk level not supplied—0
Danske Bank
DKFSAFCA
2 / 2Risk level not supplied—0
Investec
FCAFSCA
2 / 2Risk level not supplied—0

ADSS: institutional due diligence FAQ

Key supervisory, licensing, and counterparty verification questions generated from the dataset.

What is ADSS's regulatory licence status and supervisory authorisation?

In our imported dataset, ADSS (legal entity reference: ADS Securities LLC) holds 2 recorded licence entries, of which 2 carry a "regulated" status and 2 are marked regulated or registered: FCA (Financial Conduct Authority) — licence 577453, status: regulated, Tier-1; SCA (Securities and Commodities Authority) — licence 1190047, status: regulated, Tier-2. 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 FCA, SCA public register.

Which of ADSS's jurisdictions and licences fall within this site's regulatory coverage?

ADSS is registered at 8th floor, CI Tower Corniche Road PO Box 93894 Abu Dhabi United Arab Emirates and tracked under our banks and deposit-taking institutions scope based on its institutional service profile (CFDs, Indices, Forex, Stocks, Commodities, Investment) rather than a domestic focus licence. Its 2 recorded licences (FCA, SCA) should be evaluated for cross-border passporting and local solicitation rules.

What is ADSS's institutional risk classification, enforcement exposure, and score profile?

ADSS 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 ADSS's platforms, entity structure, and complaints?

Before allocating capital or executing trades with ADSS, institutional and retail allocators should: (1) confirm the domain (adss.com/en-gb) 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 FCA.

Editorial briefings and compliance research from FinLexicon Wiki relevant to ADSS's supervisory scope.

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Statutory Law & Custody Architecture

Statutory Client Asset Segregation & Insolvency Waterfalls: Comparative Legal Architecture of FCA CASS 7, SEC Rule 15c3-3, SIPA, and EU MiFID II Custody Regimes (2026)

A definitive statutory and insolvency-law reference comparing UK FCA CASS 7 statutory trusts, US SEC Rule 15c3-3 customer reserve formulas and SIPA liquidations, EU MiFID II Article 16(8)-(10) title-transfer prohibitions, and Japanese FIEA Article 43-2 trust bank mandates.

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Prudential Regulation & Capital Standards

Standardized Approach for Counterparty Credit Risk (SA-CCR) Alpha Factor: Statutory Definition, Regulatory Scope & Compliance Deadlines (1.4x Supervisory Alpha Scalar Benchmark)

Standardized Approach for Counterparty Credit Risk (SA-CCR) Alpha Factor (SA-CCR-EAD) stands at 1.4x (Supervisory Alpha Scalar) (Source: BIS BCBS CRE52, 2026-10-20), governing exact rule citations, covered entities, and

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Market Microstructure & Derivatives Taxonomy

Standardized Approach for Counterparty Credit Risk (SA-CCR) Alpha Factor: Balance-Sheet Netting Mechanics & RWA Capital Weight Calculation (1.4x Supervisory Alpha Scalar Benchmark)

Standardized Approach for Counterparty Credit Risk (SA-CCR) Alpha Factor (SA-CCR-EAD) stands at 1.4x (Supervisory Alpha Scalar) (Source: BIS BCBS CRE52, 2026-10-20), governing multilateral netting compression and Tier-1

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Central Clearing & Repo Architecture

Standardized Approach for Counterparty Credit Risk (SA-CCR) Alpha Factor: Cross-Jurisdictional Comparison: US vs. EU CRR III vs. UK PRA (1.4x Supervisory Alpha Scalar Benchmark)

Standardized Approach for Counterparty Credit Risk (SA-CCR) Alpha Factor (SA-CCR-EAD) stands at 1.4x (Supervisory Alpha Scalar) (Source: BIS BCBS CRE52, 2026-10-20), governing national divergences, gold-plating removals,

Read briefing →
ADSS — Regulation, Licence Records & Risk Profile | FinLexicon Wiki