Institution record
EC Markets
Ec Markets Limited
- 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 | |
|---|---|---|---|---|---|
FMATier-1 Financial Markets Authority | 197465 | Regulated | EC MARKETS FINANCIAL LIMITED | 2015-01-20 | |
FSCOffshore Financial Services Commission, Mauritius | GB2100130 | Offshore | EC MARKETS LIMITED | 2022-06-20 | |
FSAOffshore Financial Services Authority Seychelles | SD009 | Offshore | EC Markets Limited | — | |
FCATier-1 Financial Conduct Authority (UK) | 571881 | Regulated | EC Markets Group Ltd | 2012-08-08 | |
ASICTier-1 Australian Securities and Investments Commission | 414198 | Regulated | EC MARKETS FINANCIAL LIMITED | 2012-02-17 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing EC Markets against peer institutions in our banks and deposit-taking institutions dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| EC Markets (this record) | FMAFSCFSA+2 | 3 / 5 | Risk level not supplied | — | 0 |
| MUFG Bank | PRAOCCHKMA+4 | 7 / 7 | Risk level not supplied | — | 0 |
| Westpac | APRARBNZASIC | 3 / 3 | Risk level not supplied | — | 0 |
| Macquarie Bank | APRAASICASIC | 3 / 3 | Risk level not supplied | — | 0 |
| Bank of Scotland | PRAFCA | 2 / 2 | Risk level not supplied | — | 0 |
| Barclays | PRAFCA | 2 / 2 | Risk level not supplied | — | 0 |
EC Markets: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is EC Markets's regulatory licence status and supervisory authorisation?
In our imported dataset, EC Markets (legal entity reference: Ec Markets Limited) holds 5 recorded licence entries, of which 3 carry a "regulated" status and 3 are marked regulated or registered: FMA (Financial Markets Authority) — licence 197465, status: regulated, Tier-1; FSC (Financial Services Commission, Mauritius) — licence GB2100130, status: offshore, Offshore; FSA (Financial Services Authority Seychelles) — licence SD009, status: offshore, Offshore; FCA (Financial Conduct Authority (UK)) — licence 571881, status: regulated, Tier-1; ASIC (Australian Securities and Investments Commission) — licence 414198, 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 FMA, FSC, FSA public register.
Which of EC Markets's jurisdictions and licences fall within this site's regulatory coverage?
EC Markets is registered at 17th Floor, Heron Tower 110 Bishopsgate London, EC2N 4AY United Kingdom and tracked under our banks and deposit-taking institutions scope based on its institutional service profile (Cryptocurrencies, Precious metals, Indices, Stocks, Futures, Commodities) rather than a domestic focus licence. Its 5 recorded licences (FMA, FSC, FSA, FCA, ASIC) should be evaluated for cross-border passporting and local solicitation rules.
What is EC Markets's institutional risk classification, enforcement exposure, and score profile?
EC Markets 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 EC Markets's platforms, entity structure, and complaints?
Before allocating capital or executing trades with EC Markets, 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 FMA.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from FinLexicon Wiki relevant to EC Markets'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.
Market Microstructure & Derivatives Taxonomy
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard: Master Agreement Clauses, Legal Opinions & Novation Workflows (-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 SIFMA Cleared Repo Annexes, ISDA proto
Central Clearing & Repo Architecture
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate: Master Agreement Clauses, Legal Opinions & Novation Workflows (100% Eligible Repo Scope Benchmark)
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate (SEC-UST-CLEARING) stands at 100% (Eligible Repo Scope) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing SIFMA Cleared Repo Annexes,
ISDA & Counterparty Credit Lexicon
FICC Sponsored Member Repo (SMR) Done-With & Done-Away Clearing: Master Agreement Clauses, Legal Opinions & Novation Workflows ($1.95T Daily Sponsored Volume Benchmark)
FICC Sponsored Member Repo (SMR) Done-With & Done-Away Clearing (FICC-SPONSORED-REPO) stands at $1.95T (Daily Sponsored Volume) (Source: DTCC Fixed Income Clearing Corp, 2026-10-20), governing SIFMA Cleared Repo Annexes,