Institution record
Pepperstone
PEPPERSTONE GROUP LIMITED
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (institutions licensed in the united states and canada) 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 institutions licensed in the united states and canada dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Pepperstone (this record) | CYSECBaFinSCB+3 | 4 / 6 | Risk level not supplied | — | 0 |
| TradeZero | IIROCSECFINRA+1 | 3 / 4 | Risk level not supplied | — | 0 |
| CANADA | FINTRACFinCENASIC+8 | 3 / 11 | Risk level not supplied | — | 0 |
| eToro | FINRASECFCA+5 | 6 / 8 | Risk level not supplied | — | 0 |
| Doo Prime | FINRASECFCA+4 | 7 / 7 | Risk level not supplied | — | 1 |
| OANDA | IIROCNFAASIC+3 | 6 / 6 | 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 institutions licensed in the united states and canada 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 AlphaPulse Finance relevant to Pepperstone's supervisory scope.
market-insights
Federal Reserve Board finalizes changes to enhance the transparency and public accountability of its stress test and reduce volatility in its stress test-related capital requirements — AlphaPulse Finance Market Brief
Federal Reserve Board finalizes changes to enhance the transparency and public accountability of its stress test and reduce volatility in its stress test-related capital requirements: Summary of the supplied material covering SFC, FCA. Source details have not been independently verified.
market-insights
Federal Reserve Board announces approval of application by Fleur Capital Corporation — AlphaPulse Finance Market Brief
Federal Reserve Board announces approval of application by Fleur Capital Corporation: Summary of the supplied material covering SFC, FCA. Source details have not been independently verified.
Market Microstructure & Systematic Alpha
US & European Equity Market Microstructure in 2026: SEC Rule 605 Modernization, T+1 Settlement Liquidity Physics, and Systematic Execution Alpha
An empirical 2026 institutional research dossier examining SEC Rule 605 execution quality disclosures, DTCC NSCC T+1 margin reductions, tick-size regime shifts, and cross-venue systematic implementation shortfall across US NMS and European MiFID II dark/lit venues.
Central Bank Policy & Macro Rates
Federal Reserve Standing Repo Facility (SRF) Clearing Mechanics, TGA Rebuild Elasticity & SOFR-IORB Spread Dynamics (Q4 2026)
The Federal Reserve Standing Repo Facility (SRF) refers to the permanent overnight liquidity backstop administered by the Federal Reserve Bank of New York that caps secured U.S. dollar funding rates by lending cash against U.S. Treasury and Agency securities at the top of the FOMC target range [4.50%, Federal Reserve H.15 Release, October 2026]. As the U.S. Treasury General Account (TGA) rebuilds toward its $850 billion cash target [$850 billion, U.S. Treasury Quarterly Refunding Estimate, Q4 2026] and Overnight Reverse Repo (ON RRP) balances approach structural exhaustion at $142 billion [$142 billion, NY Fed Markets Desk Data, October 2026], commercial bank reserves bear 72% of incremental fiscal liquidity drain, driving episodic SOFR-IORB spread inversions on Treasury auction settlement dates.