Institution record
GAIN Capital
- Source score
- 2.0
- Source exposures
- 0
- Comments
- 0
Licence records
Licences within our coverage (listed & otc trading instruments, contract specifications, cross-venue symbology and margin schedules) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
Financial Industry Regulatory Authority | Not supplied | Regulated | GAIN Capital | — |
Peer source record comparison
Compare imported fields for GAIN Capital and other records in our listed & otc trading instruments, contract specifications, cross-venue symbology and margin schedules dataset. These are not independent audit findings.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Source exposures |
|---|---|---|---|---|---|
| GAIN Capital (this record) | FINRA | 1 / 1 | Risk level not supplied | 2.0 | 0 |
| None on file | 0 / 0 | Risk level not supplied | — | 0 | |
| None on file | 0 / 0 | Risk level not supplied | — | 0 | |
| None on file | 0 / 0 | Risk level not supplied | — | 0 | |
| None on file | 0 / 0 | Risk level not supplied | — | 0 | |
| None on file | 0 / 0 | Risk level not supplied | — | 0 |
GAIN Capital: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is GAIN Capital's regulatory licence status and supervisory authorisation?
The imported dataset contains 1 licence entry associated with GAIN Capital (legal entity reference: GAIN Capital); 1 are labelled "regulated" and 1 are labelled regulated or registered: FINRA (Financial Industry Regulatory Authority) — licence Not supplied, status: regulated. These fields are not independent confirmation of current authorisation. Check the exact contracting entity and registration number on the official FINRA public register.
Which of GAIN Capital's jurisdictions and licences fall within this site's regulatory coverage?
No matching licence records were found in this site's listed & otc trading instruments, contract specifications, cross-venue symbology and margin schedules source selection. The dataset may be incomplete; check the relevant official registers before drawing conclusions about authorisation or jurisdiction.
What is GAIN Capital's institutional risk classification, enforcement exposure, and score profile?
GAIN Capital carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 2.0, risk & licensing: 2.0, brand: 2.0, market influence: 2.0, user reputation: 0.0). The imported source lists 0 exposure entries. 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 GAIN Capital's platforms, entity structure, and complaints?
Before allocating capital or executing trades with GAIN Capital, institutional and retail allocators should: (1) confirm the domain (gaincapital.com) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 source exposure entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to FINRA.