Institution record
Pepperstone
PEPPERSTONE GROUP 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 | |
|---|---|---|---|---|---|
CYSECTier-2 Cyprus Securities and Exchange Commission | 388/20 | Regulated | Pepperstone EU Limited | 2020-08-03 | |
BaFinTier-1 Bundesanstalt für Finanzdienstleistungsaufsicht | 151148 | Exceeded scope | Pepperstone GmbH | — | |
SCBOffshore Securities Commission of The Bahamas | SIA-F217 | Offshore | Pepperstone Markets Limited | — | |
DFSATier-2 Dubai Financial Services Authority | F004356 | Regulated | Pepperstone Financial Services (DIFC) Limited | 2020-03-11 | |
FCATier-1 Financial Conduct Authority | 684312 | Regulated | Pepperstone Limited | 2015-08-05 | |
ASICTier-1 Australian Securities and Investments Commission | 414530 | Regulated | PEPPERSTONE GROUP LIMITED | 2013-02-04 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Pepperstone against peer institutions in our banks and deposit-taking institutions dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Pepperstone (this record) | CYSECBaFinSCB+3 | 4 / 6 | Risk level not supplied | — | 0 |
| Deutsche Bank AG | FRSECBPRA+1 | 4 / 4 | Risk level not supplied | — | 0 |
| LeasePlanbank | ECBDNBBaFin | 3 / 3 | 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 |
Pepperstone: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Pepperstone's regulatory licence status and supervisory authorisation?
In our imported dataset, Pepperstone (legal entity reference: PEPPERSTONE GROUP LIMITED) holds 6 recorded licence entries, of which 4 carry a "regulated" status and 4 are marked regulated or registered: CYSEC (Cyprus Securities and Exchange Commission) — licence 388/20, status: regulated, Tier-2; BaFin (Bundesanstalt für Finanzdienstleistungsaufsicht) — licence 151148, status: exceeded scope, Tier-1; SCB (Securities Commission of The Bahamas) — licence SIA-F217, status: offshore, Offshore; DFSA (Dubai Financial Services Authority) — licence F004356, status: regulated, Tier-2; FCA (Financial Conduct Authority) — licence 684312, status: regulated, Tier-1; ASIC (Australian Securities and Investments Commission) — licence 414530, 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 CYSEC, BaFin, SCB public register.
Which of Pepperstone's jurisdictions and licences fall within this site's regulatory coverage?
Pepperstone is registered at Level 16, Tower One, 727 Collins Street Melbourne, VIC Australia 3008 Sea Sky Lane, B201 Sandyport, Nassau New Providence, The Bahamas and tracked under our banks and deposit-taking institutions scope based on its institutional service profile (CFDs, Indices, Forex, Stocks, Commodities) rather than a domestic focus licence. Its 6 recorded licences (CYSEC, BaFin, SCB, DFSA, FCA, ASIC) should be evaluated for cross-border passporting and local solicitation rules.
What is Pepperstone's institutional risk classification, enforcement exposure, and score profile?
Pepperstone 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 (BaFin: 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 Pepperstone's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Pepperstone, institutional and retail allocators should: (1) confirm the domain (pepperstone.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 CYSEC.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from FinLexicon Wiki relevant to Pepperstone'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.
ISDA & Counterparty Credit Lexicon
Expanded Risk-Based Approach (ERBA) Basel III Endgame Standard: CCAR / DFAST Supervisory Stress Test & Pillar 3 Disclosure Rules (-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 stress capital buffer (SCB) interactio
Prudential Regulation & Capital Standards
SEC Rule 17ad-22(e)(18) U.S. Treasury Central Clearing Mandate: CCAR / DFAST Supervisory Stress Test & Pillar 3 Disclosure Rules (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 stress capital buffer (SCB)
Market Microstructure & Derivatives Taxonomy
FICC Sponsored Member Repo (SMR) Done-With & Done-Away Clearing: CCAR / DFAST Supervisory Stress Test & Pillar 3 Disclosure Rules ($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 stress capital buffer (SCB)