Risk warning: CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage. You should consider whether you understand how CFDs work and whether you can afford to take the high risk of losing your money. We publish independent research, not investment advice. Risk disclosure
Axi, formerly AxiTrader, is a forex and CFD broker founded in Sydney. AxiCorp Financial Services Pty Ltd (ASIC, with a DIFC branch) serves Australian clients, Axi Financial Services (UK) Limited (FCA) UK clients, Solaris EMEA Limited (CySEC) EU clients and AxiTrader LLC, an unlicensed company in Saint Vincent and the Grenadines, international clients. The group’s ultimate parent is TopAxi Pty Ltd.
Research-based assessment This profile has not completed TTI’s on-site verification and 30-day platform review. How TTI verification works
Verified licences
Regulator
Licence
Legal entity
Register status
Source
Australian Securities and Investments Commission (ASIC)
Each licence was matched on the regulator’s own register on the date shown. Unverified claims are listed under Regulation and legal entities.
Assessment summary
Axi’s Australian, UK and Cyprus companies are on their regulators’ registers, but its international clients deal with AxiTrader LLC, which is registered in Saint Vincent and the Grenadines and holds no licence. Clients of the regulated companies get segregated client money, negative balance protection and an ombudsman, and UK and EU clients a compensation scheme; the international agreement has no client money or negative balance terms, though its clients can use the Financial Commission. Ownership is visible through the UK company’s accounts, which name TopAxi Pty Ltd as ultimate parent, with Rajesh Yohannan registered as controlling the UK company. The regulatory record includes a 2020 ASIC licence suspension over client money and reporting failures, replaced in 2021 by compliance conditions, a 2025 Brazilian stop order and a 2024 Malaysian alert-list entry. Costs, leverage, withdrawals and execution are well documented in Axi’s published schedules.
Key positives
Clients can tell which regulated entity serves them 5678910
Each agreement names the company clients deal with and its licence, and the international agreement says AxiTrader LLC is registered in Saint Vincent and the Grenadines, where the FSA does not license CFD issuers.
The UK company’s audited accounts name TopAxi Pty Ltd as the ultimate parent and controlling party, and Companies House registers Rajesh Yohannan as holding 75% or more of the UK company’s shares and votes, with the right to appoint directors.
The agreements give each company’s full name and registration number, and the Australian, UK and Cyprus documents give registered addresses.
Independent dispute resolution is available 7910141920
Australian and DIFC clients can go to AFCA, UK clients to the Financial Ombudsman Service and EU clients to the Financial Ombudsman of the Republic of Cyprus. International clients can take CFD complaints to the Financial Commission, which lists AxiTrader as an active member since 2019.
Key concerns
ASIC puts compliance conditions on AxiCorp’s licence after finding client money and reporting failures 2535
Reduced the enforcement dimension by 12.5 points (high severity, 5.6 years before the review, counted at half weight).
Brazil’s CVM orders AxiTrader LLC and AxiCorp to stop offering services to Brazilian residents 2636
Reduced the enforcement dimension by 10 points (moderate severity, 0.8 years before the review).
Listed on the Securities Commission Malaysia Investor Alert List 27
Reduced the enforcement dimension by 2 points (low severity, 2.8 years before the review).
Warned by Japan’s Financial Services Agency for soliciting derivatives business without registration 29
Reduced the enforcement dimension by 2 points (low severity, 2.7 years before the review).
Client-facing entities appear on the regulator’s register 123456
Partly met We matched AxiCorp Financial Services on ASIC’s licensee data, Axi Financial Services (UK) on the FCA’s list of investment firms and Solaris EMEA, which trades as Axi, on CySEC’s register. We could not check the DFSA licence of AxiCorp’s DIFC branch.
Breakdown by dimension
Each dimension is scored from its criteria, then weighted. Dimensions without enough evidence are left out and the remaining weights are rescaled. Open a dimension to see every criterion, our rationale and the sources.
Regulatory status and licence verification 26% of score 84 out of 100
Whether the firm’s licences exist, are current and cover what it offers.
Partly met
Client-facing entities appear on the regulator’s register 123456
We matched AxiCorp Financial Services on ASIC’s licensee data, Axi Financial Services (UK) on the FCA’s list of investment firms and Solaris EMEA, which trades as Axi, on CySEC’s register. We could not check the DFSA licence of AxiCorp’s DIFC branch.
ASIC authorises AxiCorp to issue, deal in and make a market in derivatives and foreign exchange contracts for retail and wholesale clients, and CySEC authorises Solaris EMEA to deal on own account and execute orders in CFDs. The FCA’s published list does not show the UK company’s permissions. The international company, AxiTrader LLC, holds no licence.
Partly met
Regulatory claims on the website are accurate 456789
The licence details in Axi’s documents and on its EU site match the registers we checked, and the international agreement states that its company is not regulated. We could not confirm the DFSA licence or read the claims on Axi’s UK, Australian and international web pages.
Met
Clients can tell which regulated entity serves them 5678910
Each agreement names the company clients deal with and its licence, and the international agreement says AxiTrader LLC is registered in Saint Vincent and the Grenadines, where the FSA does not license CFD issuers.
Criteria and their weighting are explained in the methodology.
Corporate transparency and ownership 13% of score 89 out of 100
Whether you can find out who owns and runs the firm.
The UK company’s audited accounts name TopAxi Pty Ltd as the ultimate parent and controlling party, and Companies House registers Rajesh Yohannan as holding 75% or more of the UK company’s shares and votes, with the right to appoint directors.
The UK accounts name the intermediate parents, CB Financial Services (Jersey) Limited and AxiCorp Financial Services Pty Ltd, and list fellow group companies including AxiTrader and Solaris EMEA. Axi’s EU documents, however, do not explain that Solaris EMEA belongs to the group, and we could not read the group’s regional websites.
Partly met
Directors or senior managers are identified 111516
Companies House lists the UK company’s directors and the Cyprus company’s disclosures describe its board, but we could not read Axi’s group website to see whether it names its management.
The UK company files audited group accounts, most recently for the year to June 2025, and the UK and Cyprus companies publish prudential disclosures. We found no financial statements for AxiCorp in Australia, TopAxi or AxiTrader LLC.
Criteria and their weighting are explained in the methodology.
Client fund protections and disclosed safeguards 13% of score 71 out of 100
What protects client money if something goes wrong.
The Australian, UK and EU terms segregate client money under their regulators’ rules, although Australian wholesale clients’ money may be used for margining. The current international agreement with AxiTrader LLC contains no client money terms, and the earlier international PDS let money of any client who had held USD 100,000 of positions be used for margining.
Partly met
Retail clients have negative balance protection 789101819
Retail clients of the Australian, DIFC, UK and EU companies have negative balance protection. The international agreement contains no such protection, and the earlier international PDS said clients could lose more than their deposits.
UK clients may claim from the FSCS (up to £85,000) and EU clients from the Investor Compensation Fund (up to EUR 20,000). No scheme covers Australian or international clients; the Financial Commission’s fund only pays its own awards, up to EUR 20,000 per complaint, if a member fails to pay.
Not met
Banking and custody arrangements are disclosed 7818
The documents say client money is held with approved banks, Australian authorised deposit-taking institutions or banks regulated by the UK Prudential Regulation Authority, but none names the banks.
The product schedules set out how to withdraw, that requests are processed on business days, that withdrawals above US$50 are free (otherwise up to US$25), and that international bank transfers take one to three business days.
Criteria and their weighting are explained in the methodology.
Enforcement and substantiated adverse findings 13% of score 74 out of 100
Regulator warnings, enforcement actions and final legal findings on record.
Starts at 100 and loses points for each substantiated adverse finding by severity and age. Allegations, complaints and clone
warnings never count. Total deducted: 26.5 points.
Met
Warning lists and enforcement records have been searched 2526272829
We searched ASIC, CySEC, FCA and CVM records and the Indian and Malaysian alert lists, and ran web searches for other actions. The searches are listed in the source note. The Japan FSA’s list of warned unregistered firms (September 2026) includes AxiTrader Limited (2024).
Enforcement action
ASIC puts compliance conditions on AxiCorp’s licence after finding client money and reporting failures 2535
12 Mar 2021. Reduced the enforcement dimension by 12.5 points (high severity, 5.6 years before the review, counted at half weight).
Enforcement action
Brazil’s CVM orders AxiTrader LLC and AxiCorp to stop offering services to Brazilian residents 2636
5 Dec 2025. Reduced the enforcement dimension by 10 points (moderate severity, 0.8 years before the review).
Regulator warning
Listed on the Securities Commission Malaysia Investor Alert List 27
1 Jan 2024. Reduced the enforcement dimension by 2 points (low severity, 2.8 years before the review).
Regulator warning
Warned by Japan’s Financial Services Agency for soliciting derivatives business without registration 29
24 Jan 2024. Reduced the enforcement dimension by 2 points (low severity, 2.7 years before the review).
Criteria and their weighting are explained in the methodology.
Complaint handling and documented resolutions 8% of score 100 out of 100
How the firm handles complaints, and what independent records show.
Each company sets out a complaints process: the international agreement aims to resolve complaints within 21 days and the EU policy gives a final response within two months.
Met
Independent dispute resolution is available 7910141920
Australian and DIFC clients can go to AFCA, UK clients to the Financial Ombudsman Service and EU clients to the Financial Ombudsman of the Republic of Cyprus. International clients can take CFD complaints to the Financial Commission, which lists AxiTrader as an active member since 2019.
Not determined
Independent complaint outcomes show no adverse pattern 31
The ombudsman published one decision on Axi Financial Services (UK) Limited in three years, which it did not uphold; that is too few to show a pattern.
We found no complaint statistics published by Axi, and its UK company is below the thresholds for the FCA’s and the ombudsman’s firm-level tables. AFCA publishes complaint figures for the financial firms that are its members, but its data site refused our requests, so we could not check the Australian company.
Criteria and their weighting are explained in the methodology.
Trading terms and operational transparency 8% of score 94 out of 100
Whether costs, execution and risks are disclosed before you sign up.
Partly met
Costs are disclosed before account opening 7821222324
The product schedules set out spreads, Pro account commissions, financing, inactivity fees of 10 a month after 12 months and withdrawal fees. Currency conversions are made at Axi’s own rates or spreads without a stated charge.
The execution policies explain that Axi deals as principal and market maker, the execution factors, and which group companies act as execution venue or price source.
Met
The client agreement is available before sign-up 6891034
Each company’s client agreement can be read on Axi’s document store without an account.
Each product schedule gives margin rates by instrument and a 50% liquidation level; the international schedule allows leverage of up to 1:1000 on currency pairs.
The EU site describes an award-winning service, 29 ms execution and more than 20 liquidity providers without citing a source.
Partly met
An address and working contact channels are published 481011
The UK agreement’s address matches Companies House, but the EU agreement gives an address in Anexartisias Street, Limassol, while CySEC’s register lists Solaris EMEA at 78 Spyrou Kyprianou.
Documents are dated, but the Australian and international agreements can be amended at any time by written notice and the UK agreement immediately if no date is given, with no minimum notice period.
Criteria and their weighting are explained in the methodology.
On-site office verification 5% of score 0 out of 100
What our visit confirmed in person: a real, staffed office of the assessed entity, not a ghost address.
We have not checked this firm’s office in person, so this dimension scores zero. We check offices through our on-site verification programme.
Not met
Real office at the stated address, not a ghost address
Not met
Office of the assessed entity
Not met
Staffed and operating
Criteria and their weighting are explained in the methodology.
On-site assessment and platform testing 10% of score Not assessed: no on-site assessment yet
What our on-site checks and 30-day platform testing found.
We have not completed an on-site assessment of this firm, so this dimension does not count and its weight is shared among the others.
Not determined
Company identity
Not determined
Regulatory claims
Not determined
Office visit
Not determined
Account opening
Not determined
Platform usability
Not determined
Costs and disclosures
Not determined
Customer support
Not determined
Deposits and withdrawals
Not determined
Trading functions
Not determined
Complaints process
Criteria and their weighting are explained in the methodology.
Regulation and legal entities
A brand can trade through several companies, each licensed in a different place with different protections. Check which entity your
account would be with.
AxiCorp Financial Services Pty Ltd
Client-facing entity · Incorporated in Australia · Company number ACN 127 606 348 · Clients in Australia, and clients of its DIFC branch in Dubai
Australian Securities and Investments Commission (ASIC) · Reference AFSL 3182321
Issuing, dealing in and making a market in derivatives and foreign exchange contracts for retail and wholesale clients
Client-facing entity · Incorporated in St. Vincent & Grenadines · Company number 4303 LLC 2025 · International clients; not licensed (the Saint Vincent and the Grenadines FSA does not license CFD issuers)
No licence recorded for this entity.
TopAxi Pty Ltd
Holding or parent company · Incorporated in Australia · Ultimate parent and controlling party, according to the UK company’s accounts
No licence recorded for this entity.
Dated findings
Warnings, enforcement actions, legal findings, allegations and complaint records are labelled separately. What each label means.
Enforcement actionConcluded
Brazil’s CVM orders AxiTrader LLC and AxiCorp to stop offering services to Brazilian residents 2636
· Comissão de Valores Mobiliários · Brazil · Last checked 6 Oct 2026
On 5 December 2025 the CVM said AxiTrader LLC and AxiCorp Financial Services Pty Ltd were seeking clients resident in Brazil through www.axi.com/pt and Brazilian partners, including WinMaster B3, without authorisation. By Ato Declaratório 24.484 of 3 December 2025 it ordered them to stop offering securities intermediation services, under a daily fine of BRL 1,000 for non-compliance.
Regulator warningActive
Warned by Japan’s Financial Services Agency for soliciting derivatives business without registration 29
· Financial Services Agency (Japan) · Japan · Last checked 6 Oct 2026
On 24 January 2024 Japan’s Financial Services Agency warned AxiTrader Limited, of Kingstown, St Vincent and the Grenadines, for soliciting over-the-counter derivatives trading over the internet without registration in Japan, under the service name “Axi”. AxiTrader Limited was Axi’s international company before AxiTrader LLC.
Regulator warningActive
Listed on the Securities Commission Malaysia Investor Alert List 27
· Securities Commission Malaysia · Malaysia · Last checked 6 Oct 2026
The Securities Commission Malaysia’s Investor Alert List includes “AxiTrader” (www.axi.com/int/getting-started) for carrying on unlicensed capital market activities of dealing in securities. The list records the entry under the year 2024 without a specific date; we use 1 January 2024. The entry was still on the list when we checked on 4 October 2026.
Enforcement actionConcluded
ASIC puts compliance conditions on AxiCorp’s licence after finding client money and reporting failures 2535
· Australian Securities and Investments Commission · Australia · Last checked 6 Oct 2026
On 2 January 2020 ASIC suspended the AFS licence of AxiCorp Financial Services Pty Ltd for four months, finding that it had failed to pay client money into an account with an Australian authorised deposit-taking institution, comply with client money reporting rules, lodge PDS in-use notices, comply with the derivative transaction rules and lodge financial statements on time, and had breached its licence condition on compliance measures. The Administrative Appeals Tribunal stayed the suspension. ASIC then imposed additional licence conditions, including an independent expert review with a remediation plan, at least three full-time compliance staff and no new corporate authorised representatives until 31 December 2022, and on 9 March 2021 the Tribunal set the suspension aside by consent. ASIC announced the outcome on 12 March 2021.
Company response
Firms can respond to their profile and to any finding. No response has been published for Axi. How firms can respond.
Australian Securities and Investments CommissionRegulator recordChecked 4 Oct 2026Australia
Lists AFSL 318232 held by AxiCorp Financial Services Pty Ltd (ABN 85127606348), North Sydney, from 21 December 2007, covering general advice on, and issuing, dealing in and making a market in, derivatives and foreign exchange contracts for retail and wholesale clients.
Australian Business RegisterOfficial filingChecked 5 Oct 2026Australia
Active Australian private company, ABN active from 1 October 2007, based in New South Wales. Registered business names: AxiForex (from 28 September 2012) and AxiTrader (from 14 June 2013).
Cyprus Securities and Exchange CommissionRegulator recordChecked 5 Oct 2026Cyprus
Licence 433/23 granted on 10 July 2023, company registration 376148, address 78 Spyrou Kyprianou, Magnum Business Centre, Office 1B, 3076 Limassol. Approved domains www.axi-solaris.com/eu and www.axi-solaris.com/pl. Services: reception and transmission of orders, execution of orders and dealing on own account in transferable securities and CFDs, with safekeeping as an ancillary service.
Solaris EMEA LtdCompany statementChecked 5 Oct 2026Cyprus
Requests to www.axi.com from our location were redirected to this site. It says Axi is a trading name of Solaris EMEA Ltd (CySEC 433/23), warns that 67.24% of retail client accounts lose money trading CFDs with this provider, gives maximum leverage of 30:1 (2:1 on cryptocurrency CFDs), and describes an award-winning service, 29 ms execution and more than 20 liquidity providers without citing sources.
AxiCorp Financial Services Pty LtdCompany documentChecked 5 Oct 2026Australia
Issued under AFSL 318232; registered office Level 13, 73 Miller Street, North Sydney. Axi acts as principal and market maker. Client money is held on trust in segregated accounts; money of retail clients and sophisticated investors may only be withdrawn as the Australian client money rules allow, but wholesale clients’ money may be used for margining and hedging. Retail clients have negative balance protection, and their positions are closed out when net equity falls below 50% of the margin required. Complaints can go to AFCA, of which Axi is a member. Currency conversions are made at spreads that may differ from those shown on the platform.
Axi Financial Services (UK) LimitedCompany documentChecked 5 Oct 2026United Kingdom
Company 06050593, 1 Finsbury Market, London. Client money is segregated under the FCA’s client money rules and may be pooled; no interest is paid on it. Retail clients have negative balance protection. The FSCS may cover eligible claims. Axi may vary the agreement at any time on written notice, effective on the date in the notice or, if none is given, immediately.
AxiTrader LLCCompany documentChecked 5 Oct 2026St. Vincent & Grenadines
AxiTrader LLC (4303 LLC 2025) is incorporated in Saint Vincent and the Grenadines and registered as a limited liability company with the FSA there, which does not regulate, supervise or license margin FX and CFD issuers. The agreement contains no client money or negative balance protection terms. Complaints are to be resolved within 21 days, and CFD complaints can go to the Financial Commission. Axi may amend or replace the agreement at any time by written notice, and continuing to trade counts as acceptance.
Solaris EMEA LimitedCompany documentChecked 5 Oct 2026Cyprus
Agreement with Solaris EMEA Limited trading as Axi (HE 376148), registered office Soho Office, Anexartisias 187, Level 2, Limassol 3040. Client money is segregated under CySEC’s client money rules and may be pooled in omnibus accounts. Retail clients have negative balance protection. Clients may complain to CySEC and to the Financial Ombudsman of the Republic of Cyprus, and compensation from the Investor Compensation Fund is capped at EUR 20,000.
Companies HouseOfficial filingChecked 5 Oct 2026United Kingdom
Incorporated on 12 January 2007; registered office 1 Finsbury Market, London EC2A 2BN. Directors: Simon Paul Hodgkiss, Himanshu Pradeep Kher and Rajesh Yohannan. Since 23 September 2022 Rajesh Yohannan has been registered as holding 75% or more of the shares and voting rights, with the right to appoint or remove directors; Simon Hodgkiss, Paul James Kiff, Gavin Alan Ward and Himanshu Kher are registered as having significant influence or control. Group accounts are filed up to 30 June 2025.
Companies HouseOfficial filingPublished 13 Apr 2026Checked 5 Oct 2026United Kingdom
Audited accounts filed on 13 April 2026, a scanned document that we read with text recognition. The company provides trading and support services in forex and CFDs to its own clients and to clients of fellow subsidiaries of AxiCorp Financial Services Pty Ltd, an intermediate parent. Its intermediate parent company is CB Financial Services (Jersey) Limited, and the ultimate parent and controlling party is TopAxi Pty Ltd. Fellow group companies listed include AxiTrader Ltd, AxiCorp Pte Limited, Solaris EMEA Limited (Cyprus) and Axi Services (Cyprus) Limited. Average month-end client money balances were US$20.6 million. Profit for the year was US$10,181,225; the 2024 figures were restated because AxiCorp Pte Limited had not allocated all revenues and expenses due to the company under the group’s transfer pricing policy.
Solaris EMEA LtdCompany documentChecked 5 Oct 2026Cyprus
Explains the execution factors and says execution venues will be authorised investment firms: the company intends to use Axi Financial Services (UK) Limited and AxiCorp Financial Services Pty Ltd, which provide pricing from prime brokers.
Financial CommissionCompany statementChecked 5 Oct 2026
Lists AxiTrader as an active member registered on 24 June 2019, with a compensation fund of EUR 20,000 per complaint, and describes AxiTrader LLC as part of the AxiCorp Financial Services Pty Ltd group.
Solaris EMEA LtdCompany documentChecked 5 Oct 2026Cyprus
Prudential disclosures under the EU Investment Firms Regulation: own funds of US$1.6 million, a board of two executive and three non-executive directors at 30 June 2025, and the risk management framework.
AxiCorp Financial Services Pty LtdCompany statementChecked 5 Oct 2026
On 5 October 2026 requests from our location to www.axi.com, including its UK, Australian and international pages, were redirected to the EU site www.axi-solaris.com/eu, so we could not read the UK, Australian and international web pages. We used the documents Axi publishes on its document store instead.
AxiTrader LimitedCompany documentChecked 5 Oct 2026St. Vincent & Grenadines
Earlier international terms of AxiTrader Limited (25417 BC 2019, Kingstown), still on Axi’s document store. Retail client money was held on trust in segregated accounts with banks regulated by the UK Prudential Regulation Authority or equivalent, but money of wholesale clients, a status applied to anyone who has held positions with a notional value of USD 100,000 or more, could be used for margining, and clients could lose more than their deposits.
Axi Financial Services (UK) LimitedCompany documentChecked 5 Oct 2026United Kingdom
States that the FSCS provides up to £85,000 of protection on client funds if the firm fails with a shortfall, and that clients can complain to the Financial Ombudsman Service, of which Axi is a member.
Solaris EMEA LimitedCompany documentChecked 5 Oct 2026Cyprus
Initial margin rates by instrument, a 50% liquidation level, Pro account commissions, a monthly inactivity fee of 10 (EUR, GBP or USD) or PLN 40 after 12 months without trading, and free withdrawals above US$50 (otherwise up to US$25), processed on business days.
AxiCorp Financial Services Pty LtdCompany documentChecked 5 Oct 2026Australia
Margin rates by instrument, a 50% liquidation level, Pro account commissions, deposit fees, and free withdrawals above US$50 (otherwise up to US$25), processed on business days.
Axi Financial Services (UK) LimitedCompany documentChecked 5 Oct 2026United Kingdom
Margin rates by instrument, a 50% liquidation level, an inactivity fee of 10 (GBP, EUR, USD or CHF) or PLN 40 a month after 12 months without trading, and withdrawals processed on business days, with international bank transfers taking one to three business days.
AxiTrader LLCCompany documentChecked 5 Oct 2026St. Vincent & Grenadines
Maximum leverage of up to 1:1000 on currency pairs, a 50% liquidation level, spreads for standard accounts, an inactivity fee after 12 months, and free withdrawals above US$50 (otherwise up to US$25), processed on business days.
Australian Securities and Investments CommissionRegulator recordPublished 12 Mar 2021Checked 5 Oct 2026Australia
ASIC imposed additional licence conditions: an independent expert review of AxiCorp’s compliance procedures and controls with a remediation plan, at least three full-time compliance staff and no new corporate authorised representatives until 31 December 2022, and a senior executive attestation, failing which AxiCorp would have to stop onboarding clients and charging fees in Australia. ASIC and AxiCorp then filed consent orders, and on 9 March 2021 the Tribunal set the suspension aside.
Comissão de Valores Mobiliários (Brazil)Regulator recordPublished 5 Dec 2025Checked 5 Oct 2026Brazil
Market alert published on 5 December 2025: AxiTrader LLC and AxiCorp Financial Services Pty Ltd were seeking clients resident in Brazil through www.axi.com/pt and Brazilian partners, including WinMaster B3, without CVM authorisation. By Ato Declaratório 24.484 of 3 December 2025 the CVM ordered them to stop offering securities intermediation services, under a daily fine of BRL 1,000.
Securities Commission MalaysiaRegulator recordChecked 4 Oct 2026Malaysia
Includes an entry dated 2024 for “AxiTrader” (www.axi.com/int/getting-started) for carrying on unlicensed capital market activities of dealing in securities. A separate 2024 entry for “AxiTrader / Smart2returns” is a potential clone and not a finding about Axi.
Australian Securities and Investments Commission; and othersRegulator recordChecked 5 Oct 2026
On 5 October 2026 we searched ASIC’s licensee data and media releases, CySEC’s 1,173 board decisions, the FCA’s list, the CVM’s declaratory acts, KNF’s lists and the Indian, Securities Commission Malaysia and Bank Negara Malaysia alert lists, and ran web searches for actions by ASIC, the FCA, the DFSA, CySEC and others. The findings on this profile are what we found.
Financial Services Agency of JapanRegulator recordPublished 25 Sept 2026Checked 6 Oct 2026Japan
Lists AxiTrader Limited, Kingstown, St Vincent and the Grenadines, warned on 24 January 2024 for soliciting over-the-counter derivatives trading over the internet without registration in Japan; the service named is “Axi”.
Solaris EMEA LtdCompany documentChecked 5 Oct 2026Cyprus
Complaints are submitted by email, and the compliance department must give a final written response within two months of receipt or explain the delay. Describes the Financial Ombudsman as the independent body for disputes in Cyprus.
Axi Financial Services (UK) LimitedCompany documentChecked 5 Oct 2026United Kingdom
Axi deals with clients as principal and is the sole execution venue; AxiCorp Pte Ltd provides an aggregated price feed. Explains the execution factors and monitoring.
Australian Securities and Investments CommissionRegulator recordPublished 3 Feb 2020Checked 5 Oct 2026Australia
On 2 January 2020 ASIC suspended AxiCorp’s AFS licence for four months after finding it had failed to pay client money into an account with an Australian authorised deposit-taking institution, lodge PDS in-use notices, comply with the derivative transaction rules and client money reporting rules and lodge financial statements on time, had breached its licence condition on compliance measures, and was likely to contravene its general obligations because of systemic compliance failures. The Administrative Appeals Tribunal stayed the suspension pending review.
Comissão de Valores Mobiliários (Brazil)Regulator recordChecked 4 Oct 2026Brazil
Records Ato Declaratório 24.484 of 3 December 2025 against AxiCorp Financial Services Pty Ltd, AxiTrader LLC (AxiTrader) and WinMaster B3, published in the official gazette on 5 December 2025.
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