Institution record
IB
Interactive Brokers Hong Kong 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 | |
|---|---|---|---|---|---|
MASTier-1 Monetary Authority of Singapore | CMS100917 | Regulated | INTERACTIVE BROKERS SINGAPORE PTE. LTD. | — | |
IIROCTier-1 Investment Industry Regulatory Organization of Canada | Not supplied | Regulated | Interactive Brokers Canada Inc. | — | |
FSATier-1 Financial Services Agency | Kanto Local Finance Bureau (FIBO) No. 187 | Regulated | — | 2007-09-30 | |
FCATier-1 Financial Conduct Authority | 208159 | Regulated | Interactive Brokers (UK) Ltd | 2002-02-06 | |
ASICTier-1 Australian Securities and Investments Commission | 453554 | Regulated | INTERACTIVE BROKERS AUSTRALIA PTY LTD | 2016-07-28 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing IB against peer institutions in our banks and deposit-taking institutions dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| IB (this record) | MASIIROCFSA+2 | 5 / 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 |
| Al Rayan Bank | PRAFCA | 2 / 2 | Risk level not supplied | — | 0 |
| Commonwealth Bank of Australia | APRAASIC | 2 / 2 | Risk level not supplied | — | 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: MAS (Monetary Authority of Singapore) — licence CMS100917, status: regulated, Tier-1; IIROC (Investment Industry Regulatory Organization of Canada) — licence Not supplied, status: regulated, Tier-1; FSA (Financial Services Agency) — licence Kanto Local Finance Bureau (FIBO) No. 187, status: regulated, Tier-1; FCA (Financial Conduct Authority) — licence 208159, status: regulated, Tier-1; ASIC (Australian Securities and Investments Commission) — licence 453554, 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 MAS, IIROC, FSA public register.
Which of IB's jurisdictions and licences fall within this site's regulatory coverage?
IB is registered at One Pickwick Plaza, Greenwich, CT 06830 USA and tracked under our banks and deposit-taking institutions scope based on its institutional service profile (Stocks, Futures, Options) rather than a domestic focus licence. Its 5 recorded licences (MAS, IIROC, FSA, FCA, ASIC) should be evaluated for cross-border passporting and local solicitation rules.
What is IB's institutional risk classification, enforcement exposure, and score profile?
IB 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 IB's platforms, entity structure, and complaints?
Before allocating capital or executing trades with IB, 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 MAS.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from FinLexicon Wiki relevant to IB'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,