Institution record
Broker
Broker Jet Co. LTD.
- 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.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
SERCTier-3 Securities and Exchange Regulator of Cambodia | 013 | Exceeded scope | Broker Jet Co. LTD. | -- |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Broker against peer institutions in our banks and deposit-taking institutions dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Broker (this record) | SERC | 0 / 1 | Risk level not supplied | — | 0 |
| MUFG Bank | PRAOCCHKMA+4 | 7 / 7 | Risk level not supplied | — | 0 |
| Deutsche Bank AG | FRSECBPRA+1 | 4 / 4 | Risk level not supplied | — | 0 |
| American Express | FRSOCCFDIC | 3 / 3 | Risk level not supplied | — | 0 |
| BofA | FDICFRSOCC | 3 / 3 | Risk level not supplied | — | 0 |
| Citibank, N.A. | OCCFDICFRS | 3 / 3 | Risk level not supplied | — | 0 |
Broker: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Broker's regulatory licence status and supervisory authorisation?
In our imported dataset, Broker (legal entity reference: Broker Jet Co. LTD.) holds 1 recorded licence entry, of which 0 carry a "regulated" status and 0 are marked regulated or registered: SERC (Securities and Exchange Regulator of Cambodia) — licence 013, status: exceeded scope, Tier-3. 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 SERC public register.
Which of Broker's jurisdictions and licences fall within this site's regulatory coverage?
Broker is registered at No.1, Street 360, Sangkat Boeung Keng Kang 1, Khan Chamkarmon, Phnom Penh Amass Central Tower, Building 176, Street 63, Sangkat Boeung Keng Kang 1, Khan Boeung Keng Kang, Phnom Penh, Cambodia and tracked under our banks and deposit-taking institutions scope based on its institutional service profile (CFDs, Precious metals, Stock indices, Forex) rather than a domestic focus licence. Its 1 recorded licence (SERC) should be evaluated for cross-border passporting and local solicitation rules.
What is Broker's institutional risk classification, enforcement exposure, and score profile?
Broker 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 and 1 licence record with elevated status flags (SERC: exceeded scope). 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 Broker's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Broker, institutional and retail allocators should: (1) confirm the domain (brokerjet.asia) 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 SERC.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from FinLexicon Wiki relevant to Broker's supervisory scope.
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.
Derivatives Margin & Prudential Regulation
ISDA 2026 SIMM Risk Weights, Uncleared Margin Rules (UMR) Thresholds & VM/IM Collateral Eligibility
ISDA Standard Initial Margin Model (SIMM) refers to a parametric, sensitivity-based methodology calibrated across a 10-day margin period of risk (MPOR) at a 99% confidence interval to calculate regulatory initial margin for non-centrally cleared over-the-counter (OTC) derivatives under BCBS-IOSCO Uncleared Margin Rules (UMR).
Market Microstructure & Derivatives Taxonomy
U.S. Treasury Central Clearing Mandate & FICC Sponsored Repo: Done-With vs. Done-Away Clearing Mechanics
U.S. Treasury Central Clearing Mandate refers to SEC Rule 17ad-22(e)(18) requiring FICC central clearing for eligible Treasury cash trades by December 31, 2026 and repos by June 30, 2027.
Prudential Regulation & Capital Standards
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard: Statutory Definition, Regulatory Scope & Compliance Deadlines (-4.8% Cat I/II CET1 Change Benchmark)
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard (BASEL-ERBA-2026) stands at -4.8% (Cat I/II CET1 Change) (Source: Federal Reserve / OCC / FDIC, 2026-10-20), governing exact rule citations, covered entities