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- Search the regulator’s official register for the exact firm you would be dealing with.
- Check that the firm has permission for the service it is offering, not just a registration or licence entry.
- Compare the register’s company details with the details provided by the broker.
- Regulation and a clean record do not guarantee safety or prevent losses.
To check whether a forex broker is regulated, identify the legal firm that would provide your service, then search the official register for the regulator in the relevant jurisdiction. Confirm that the firm’s details match and that its permissions cover the service being offered. A register entry is a check on authorisation or registration, not a guarantee against fraud or trading losses.
Start with the firm behind the broker
A broker’s trading name may not be the same as the legal entity providing your account or service. Look for the firm name and company details in the broker’s documents, then use those details to search the relevant regulator’s register. Check that the entity you find is the one you would deal with, rather than relying only on a brand name or a claim on a website.
Which register to use depends on where the firm provides services and which regulator oversees it. The checks below cover the jurisdictions described by the regulators cited here; they are not a complete list of regulators worldwide.
Check the official register for your jurisdiction
United Kingdom: FCA
Use the FCA Firm Checker or Financial Services Register to check whether a firm is authorised and whether it has permission for the service it is offering. The FCA explains that authorisation means a firm has permission to provide certain products and services. Registration is different: a registered firm cannot provide regulated products and services that require authorisation. The FCA also notes that using a firm that is registered but not authorised may mean you are unlikely to have FSCS protection if it fails or access to the Financial Ombudsman Service if you complain. Read the FCA’s guidance on checking a firm or individual.
European Union and European Economic Area: national regulators and ESMA
For investment services in the EU, check the public register of the relevant national regulator. ESMA also provides a public register of firms authorised by EU and EEA national regulators. Check that the firm you find is the one you are in contact with and is authorised in the relevant jurisdiction. See ESMA’s guidance on checking whether a firm is regulated.
Australia: ASIC
Search ASIC’s Professional Registers for the firm or its licence details. ASIC advises checking that the licence number and company details match the register, and that the licence conditions cover the financial services being offered and the relevant client type. The register can also show website addresses provided by AFS licensees, which can help you check whether a site matches the licensee’s listed website. Search ASIC’s Professional Registers and read ASIC’s guidance on checking businesses.
United States: CFTC and NFA BASIC
For firms or people offering commodity futures, options, forex or other derivatives, the CFTC advises checking registration and background information through the NFA BASIC database. The CFTC says to check registration status and disciplinary history before considering a trade. It also cautions that registration and a clean disciplinary record do not protect you from fraud. Read the CFTC’s registration-check guidance.
What to compare in the register
- Firm identity: Does the registered name and company information match the firm named in the broker’s documents?
- Status: Is the firm authorised, licensed or registered as required in the jurisdiction?
- Permissions: Do the firm’s permitted services cover what it is offering you? Registration alone may not be enough.
- Client scope: Where the register or licence conditions specify it, check whether the firm can serve your client type.
- Contact and website details: Where the regulator lists these details, compare them with the website and contact information you are using.
- Disciplinary history: Where available, check for regulatory or disciplinary information as well as the firm’s current status.
What regulation does—and does not—tell you
A regulator’s register can help confirm a firm’s status and the services it is permitted to provide. It does not establish that trading is suitable for you, guarantee that you will recover money if something goes wrong, or remove market and counterparty risk. The protections and permissions that apply can depend on the legal entity and jurisdiction connected to your account.
CFDs are complex instruments, and most retail accounts lose money. Checking a firm’s regulatory status is one part of due diligence, not a reason to assume that trading is safe or that losses cannot occur.
If the details do not match
Do not treat a similar name, licence number or website as proof that you have found the same firm. Recheck the official register and compare the legal entity and other listed details. If the register does not show the service being offered, or the details differ, pause before sharing information or sending money and seek clarification from the relevant regulator.
Câu hỏi thường gặp
What is the first step in checking a forex broker?
Find the legal entity that would provide your account or service, then search the official register for the regulator in the relevant jurisdiction.
Is registration the same as authorisation?
Not always. The FCA distinguishes registration from authorisation: a registered firm cannot provide regulated products and services that require authorisation. Check the relevant regulator’s register and the firm’s permissions.
Does a regulator’s register prove that a broker is safe?
No. A register can confirm status and permissions, but it does not guarantee against fraud, losses or other risks. The CFTC specifically says that registration and a clean disciplinary record do not protect you from fraud.
Which register should I use?
Use the official register for the jurisdiction relevant to the firm and the service. Examples include the FCA register in the UK, national regulator registers or ESMA’s public register in the EU and EEA, ASIC’s Professional Registers in Australia, and NFA BASIC for the CFTC registration checks described by the CFTC.
What if the broker’s details do not match the register?
Do not assume the firm is the same based on a similar name or other partial match. Recheck the legal entity and listed details, and pause before sharing information or sending money if the mismatch is unresolved.
