Institution record
Swissquote
Swissquote Asia 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 | |
|---|---|---|---|---|---|
DFSATier-2 Dubai Financial Services Authority | F001438 | Regulated | Swissquote MEA Ltd. | 2012-07-16 | |
FINMATier-1 Swiss Financial Market Supervisory Authority | Number pending check | Regulated | Swissquote | 2009 | |
MASTier-1 Monetary Authority of Singapore | 226182 | Regulated | SWISSQUOTE PTE. LTD. | — | |
FCATier-1 Financial Conduct Authority (UK) | 562170 | Suspected clone | Swissquote Ltd | 2012-05-02 | |
SFCTier-1 Securities and Futures Commission | AZV127 | Regulated | Swissquote Asia Limited | 2013-02-25 | |
CYSECTier-2 Cyprus Securities and Exchange Commission | 422/22 | Regulated | Swissquote Capital Markets Limited | 21/11/2022 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Swissquote against peer institutions in our banks and deposit-taking institutions dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Swissquote (this record) | DFSAFINMAMAS+3 | 5 / 6 | Risk level not supplied | — | 0 |
| MUFG Bank | PRAOCCHKMA+4 | 7 / 7 | 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 |
| Habib Bank AG Zurich | CBUAEFINMA | 2 / 2 | Risk level not supplied | — | 0 |
| HSBC | HKMASFC | 2 / 2 | Risk level not supplied | — | 0 |
Swissquote: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Swissquote's regulatory licence status and supervisory authorisation?
In our imported dataset, Swissquote (legal entity reference: Swissquote Asia Limited) holds 6 recorded licence entries, of which 5 carry a "regulated" status and 5 are marked regulated or registered: DFSA (Dubai Financial Services Authority) — licence F001438, status: regulated, Tier-2; FINMA (Swiss Financial Market Supervisory Authority) — licence Number pending check, status: regulated, Tier-1; MAS (Monetary Authority of Singapore) — licence 226182, status: regulated, Tier-1; FCA (Financial Conduct Authority (UK)) — licence 562170, status: suspected clone, Tier-1; SFC (Securities and Futures Commission) — licence AZV127, status: regulated, Tier-1; CYSEC (Cyprus Securities and Exchange Commission) — licence 422/22, status: regulated, Tier-2. 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 DFSA, FINMA, MAS public register.
Which of Swissquote's jurisdictions and licences fall within this site's regulatory coverage?
Swissquote is registered at Suites 3202-4, Level 32/F ICBC Tower 3 Garden Road Central, Hong Kong and tracked under our banks and deposit-taking institutions scope based on its institutional service profile (Cryptocurrencies, Precious metals, Indices, Stocks) rather than a domestic focus licence. Its 6 recorded licences (DFSA, FINMA, MAS, FCA, SFC, CYSEC) should be evaluated for cross-border passporting and local solicitation rules.
What is Swissquote's institutional risk classification, enforcement exposure, and score profile?
Swissquote 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 (FCA: suspected clone). 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 Swissquote's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Swissquote, 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 DFSA.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from FinLexicon Wiki relevant to Swissquote'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,