Institution record
Saxo
Saxo Bank A/S
- 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 | |
|---|---|---|---|---|---|
FCATier-1 Financial Conduct Authority | 551422 | Regulated | Saxo Capital Markets UK Limited | 2011-10-05 | |
DKFSATier-1 Danish Financial Supervisory Authority | Number pending check | Regulated | Saxo Bank A/S | 2001-06-27 | |
FINMATier-1 Swiss Financial Market Supervisory Authority | Number pending check | Regulated | SAXO BANK (SCHWEIZ) AG | — | |
MASTier-1 Monetary Authority of Singapore | Not supplied | Regulated | SAXO CAPITAL MARKETS PTE. LTD. | — | |
ASICTier-1 Australian Securities and Investments Commission | 280372 | Regulated | SAXO CAPITAL MARKETS (AUSTRALIA) LIMITED | 2004-12-07 | |
CONSOBTier-1 Commissione Nazionale per le Società e la Borsa | 296 | Regulated | BG SAXO SIM SPA | 2018-12-28 | |
AMFTier-1 Autorité des marchés financiers | 71081 | Regulated | Saxo bank A/S | — | |
FSATier-1 Financial Services Agency | Kanto Local Finance Bureau (FIBO) No. 239 | Regulated | Saxo Bank Securities Ltd. | 2007-09-30 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Saxo against peer institutions in our banks and deposit-taking institutions dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Saxo (this record) | FCADKFSAFINMA+5 | 8 / 8 | 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 |
| Nordea | ECBFIDKFSA+2 | 5 / 5 | 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 |
Saxo: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Saxo's regulatory licence status and supervisory authorisation?
In our imported dataset, Saxo (legal entity reference: Saxo Bank A/S) holds 8 recorded licence entries, of which 8 carry a "regulated" status and 8 are marked regulated or registered: FCA (Financial Conduct Authority) — licence 551422, status: regulated, Tier-1; DKFSA (Danish Financial Supervisory Authority) — licence Number pending check, status: regulated, Tier-1; FINMA (Swiss Financial Market Supervisory Authority) — licence Number pending check, status: regulated, Tier-1; MAS (Monetary Authority of Singapore) — licence Not supplied, status: regulated, Tier-1; ASIC (Australian Securities and Investments Commission) — licence 280372, status: regulated, Tier-1; CONSOB (Commissione Nazionale per le Società e la Borsa) — licence 296, status: regulated, Tier-1; AMF (Autorité des marchés financiers) — licence 71081, status: regulated, Tier-1; FSA (Financial Services Agency) — licence Kanto Local Finance Bureau (FIBO) No. 239, 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 FCA, DKFSA, FINMA public register.
Which of Saxo's jurisdictions and licences fall within this site's regulatory coverage?
Saxo is registered at 19th Floor Shanghai Commercial Bank Tower 12 Queen’s Road Central Hong Kong and tracked under our banks and deposit-taking institutions scope based on its institutional service profile (CFDs, Forex, Stocks, Futures, Options, Bonds) rather than a domestic focus licence. Its 8 recorded licences (FCA, DKFSA, FINMA, MAS, ASIC, CONSOB, AMF, FSA) should be evaluated for cross-border passporting and local solicitation rules.
What is Saxo's institutional risk classification, enforcement exposure, and score profile?
Saxo 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 Saxo's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Saxo (listed execution software: SaxoTraderGO), institutional and retail allocators should: (1) confirm the domain (home.saxo/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.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from FinLexicon Wiki relevant to Saxo'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,