Institution record
StoneX
StoneX Financial Inc.
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (institutions licensed in offshore financial centres) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
SECTier-1 U.S. Securities and Exchange Commission | CRD 136795 / SEC 8-68179 | Regulated | StoneX Financial Inc. | 2015 | |
MASTier-1 Monetary Authority of Singapore | Number pending check | Regulated | StoneX Financial Pte. Ltd. | 2011 | |
ASICTier-1 Australian Securities and Investments Commission | 345646 | Regulated | City Index Australia Pty Ltd | 2014 | |
FCATier-1 Financial Conduct Authority | 446717 | Regulated | StoneX Financial Ltd | 2010 | |
NFATier-2 National Futures Association | 0501390 | Regulated | StoneX Financial Inc. | 2015 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing StoneX against peer institutions in our institutions licensed in offshore financial centres dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| StoneX (this record) | SECMASASIC+2 | 5 / 5 | Risk level not supplied | — | 0 |
| AETOS | FSAFSCVFSC+2 | 5 / 5 | Risk level not supplied | — | 0 |
| Mohicans Markets | VFSCMISAFSC+2 | 4 / 5 | Risk level not supplied | — | 0 |
| Doo Prime | FSAFSCVFSC+4 | 7 / 7 | Risk level not supplied | — | 1 |
| GLOBAL | VFSCFSCFSA+3 | 5 / 6 | Risk level not supplied | — | 0 |
| Royal | VFSCSVGCMA+2 | 4 / 5 | Risk level not supplied | — | 0 |
StoneX: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is StoneX's regulatory licence status and supervisory authorisation?
In our imported dataset, StoneX (legal entity reference: StoneX Financial Inc.) holds 5 recorded licence entries, of which 5 carry a "regulated" status and 5 are marked regulated or registered: SEC (U.S. Securities and Exchange Commission) — licence CRD 136795 / SEC 8-68179, status: regulated, Tier-1; MAS (Monetary Authority of Singapore) — licence Number pending check, status: regulated, Tier-1; ASIC (Australian Securities and Investments Commission) — licence 345646, status: regulated, Tier-1; FCA (Financial Conduct Authority) — licence 446717, status: regulated, Tier-1; NFA (National Futures Association) — licence 0501390, 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 SEC, MAS, ASIC public register.
Which of StoneX's jurisdictions and licences fall within this site's regulatory coverage?
StoneX is registered at 230 S LaSalle St #10-500 Chicago, IL 60604 and tracked under our institutions licensed in offshore financial centres scope based on its institutional service profile (CFDs, Precious metals, Stock indices, Forex) rather than a domestic focus licence. Its 5 recorded licences (SEC, MAS, ASIC, FCA, NFA) should be evaluated for cross-border passporting and local solicitation rules.
What is StoneX's institutional risk classification, enforcement exposure, and score profile?
StoneX 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 StoneX's platforms, entity structure, and complaints?
Before allocating capital or executing trades with StoneX, institutional and retail allocators should: (1) confirm the domain (stonex.co) 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 SEC.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from Sovereign Tax Atlas relevant to StoneX's supervisory scope.
FATCA, CRS & Cross-Border Information Exchange
Singapore MAS Section 13O (S$20M) & Section 13U (S$50M) Family Office Tax Exemption: Statutory vs. Bilateral Treaty Withholding Tax Rate Matrix (2026) (0.0% Exempt Specified Income Tax Benchmark)
Singapore MAS Section 13O (S$20M) & Section 13U (S$50M) Family Office Tax Exemption (SG-13O-13U-VCC) stands at 0.0% (Exempt Specified Income Tax) (Source: Monetary Authority of Singapore / IRAS, 2026-10-20), governing di
OECD Pillar Two & Global Minimum Tax
Singapore MAS Section 13O (S$20M) & Section 13U (S$50M) Family Office Tax Exemption: Economic Substance, Minimum AUM & Local Staffing Qualification Rules (0.0% Exempt Specified Income Tax Benchmark)
Singapore MAS Section 13O (S$20M) & Section 13U (S$50M) Family Office Tax Exemption (SG-13O-13U-VCC) stands at 0.0% (Exempt Specified Income Tax) (Source: Monetary Authority of Singapore / IRAS, 2026-10-20), governing de
Institutional Fund Domiciles & Family Office Regimes
Singapore MAS Section 13O (S$20M) & Section 13U (S$50M) Family Office Tax Exemption: QDMTT, IIR & UTPR Effective Tax Rate (ETR) & Top-Up Calculation (0.0% Exempt Specified Income Tax Benchmark)
Singapore MAS Section 13O (S$20M) & Section 13U (S$50M) Family Office Tax Exemption (SG-13O-13U-VCC) stands at 0.0% (Exempt Specified Income Tax) (Source: Monetary Authority of Singapore / IRAS, 2026-10-20), governing Su
Cross-Border Tax Treaties
Singapore MAS Section 13O (S$20M) & Section 13U (S$50M) Family Office Tax Exemption: Limitation on Benefits (LOB), Principal Purpose Test & ATAD 2 Anti-Hybrid Rules (0.0% Exempt Specified Income Tax Benchmark)
Singapore MAS Section 13O (S$20M) & Section 13U (S$50M) Family Office Tax Exemption (SG-13O-13U-VCC) stands at 0.0% (Exempt Specified Income Tax) (Source: Monetary Authority of Singapore / IRAS, 2026-10-20), governing ac