Interactive Brokers (U.K.) Limited
Financial Conduct Authority (FCA) · Reference 208159 2
Listed as Authorised in the FCA's investment firms register, first authorised 6 February 2002.
Authorised Verified on register, 4 Oct 2026
Interactive Brokers
Interactive Brokers is a US-based multi-asset broker owned by Interactive Brokers Group, Inc., which is listed on Nasdaq and controlled by its founder, Thomas Peterffy. It offers forex and CFDs alongside shares, options and futures through Interactive Brokers LLC in the US and affiliates including Interactive Brokers (U.K.) Limited, Interactive Brokers Ireland Limited, Interactive Brokers Australia, Interactive Brokers Singapore, Interactive Brokers Hong Kong, Interactive Brokers Canada and Interactive Brokers Securities Japan.
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 |
|---|---|---|---|---|
| Financial Conduct Authority (FCA) | 208159 | Interactive Brokers (U.K.) Limited | Authorised Checked 4 Oct 2026 | Register entry for Interactive Brokers (U.K.) Limited (opens in a new tab) 2 |
| Central Bank of Ireland (CBI) | C423427 | Interactive Brokers Ireland Limited | Authorised Checked 4 Oct 2026 | Register entry for Interactive Brokers Ireland Limited (opens in a new tab) 5 |
| Australian Securities and Investments Commission (ASIC) | AFSL 453554 | Interactive Brokers Australia Pty Ltd | Authorised Checked 4 Oct 2026 | Register entry for Interactive Brokers Australia Pty Ltd (opens in a new tab) 3 |
| Monetary Authority of Singapore (MAS) | CMS100917 | Interactive Brokers Singapore Pte Ltd | Authorised Checked 4 Oct 2026 | Register entry for Interactive Brokers Singapore Pte Ltd (opens in a new tab) 4 |
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
Interactive Brokers is controlled by its listed parent and founder, publishes detailed entity information for each of its regulated affiliates, and its UK company’s terms provide segregated client money, FSCS participation and access to the Financial Ombudsman Service. We matched its UK, Irish, Australian and Singapore companies on their regulators’ registers. Its enforcement record is the heaviest among the brokers we have assessed: since 2018 regulators in the US, UK, Australia and Hong Kong have fined it for anti-money laundering and sanctions failures, record-keeping, market abuse surveillance, client asset handling and order marking, including USD 55 million over off-channel communications in 2023 and an OFAC settlement in 2025. Its enforcement dimension scores zero under our methodology. The UK ombudsman upholds complaints against IBUK slightly more often than average.
Key positives
- Clients can tell which regulated entity serves them 16
The website lists every affiliate with its regulator, registration numbers, registered office and website, and the UK terms name the contracting company.
- Client money segregation is disclosed 6
IBUK holds client money in segregated accounts under the FCA client asset rules.
- Ultimate ownership can be identified 7
Interactive Brokers Group, Inc. is listed on Nasdaq, and its annual report identifies founder Thomas Peterffy as the controlling owner through IBG Holdings LLC.
- Authorisations are current and unrestricted 2345
The registers we checked show the companies as currently authorised, with no suspension or restriction.
- Legal entity details are published 1
Full legal names, registration numbers and registered addresses are published for the client-facing companies.
Key concerns
- CFTC order over supervision during April 2020 oil futures turmoil, with USD 82.57 million restitution 8
Reduced the enforcement dimension by 12.5 points (high severity, 5 years before the review, counted at half weight).
- OFAC settlement of USD 11.8 million for apparent sanctions violations 810
Reduced the enforcement dimension by 10 points (moderate severity, 1.2 years before the review).
- US options exchanges fine Interactive Brokers USD 7.75 million for mismarking orders 8
Reduced the enforcement dimension by 10 points (moderate severity, 1 years before the review).
- FINRA fines Interactive Brokers USD 3.5 million over execution quality reviews 8
Reduced the enforcement dimension by 10 points (moderate severity, 2.8 years before the review).
- FINRA fines Interactive Brokers USD 2.25 million for failing to detect free-riding 8
Reduced the enforcement dimension by 10 points (moderate severity, 1.8 years before the review).
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 Whether the firm’s licences exist, are current and cover what it offers.
- Partly met
Client-facing entities appear on the regulator’s register 12345
We matched Interactive Brokers (U.K.) on the FCA’s list, Interactive Brokers Ireland on the Central Bank of Ireland’s register, Interactive Brokers Australia in ASIC’s data and Interactive Brokers Singapore in MAS’s directory. We did not verify the US, Hong Kong, Canadian and Japanese companies on their registers.
- Met
- Partly met
Permissions cover the services offered 4
MAS lists permissions covering OTC derivatives and leveraged FX for the Singapore company. We could not confirm the UK and other companies’ permissions on a register.
- Partly met
- Met
Criteria and their weighting are explained in the methodology.
Corporate transparency and ownership 13% of score Whether you can find out who owns and runs the firm.
- Met
Legal entity details are published 1
Full legal names, registration numbers and registered addresses are published for the client-facing companies.
- Met
Ultimate ownership can be identified 7
Interactive Brokers Group, Inc. is listed on Nasdaq, and its annual report identifies founder Thomas Peterffy as the controlling owner through IBG Holdings LLC.
- Met
- Met
- Met
Financial statements are available 7
The listed parent files audited annual reports with the SEC.
Criteria and their weighting are explained in the methodology.
Client fund protections and disclosed safeguards 13% of score What protects client money if something goes wrong.
- Met
Client money segregation is disclosed 6
IBUK holds client money in segregated accounts under the FCA client asset rules.
- Not determined
Retail clients have negative balance protection
IBUK’s general terms treat negative balances as amounts owed by the client; we did not find a statement of negative balance protection for retail CFD clients in the documents we reviewed.
- Partly met
An investor compensation scheme applies 16
Interactive Brokers states that IBUK participates in the FSCS, Interactive Brokers Ireland in the Irish Investor Compensation Scheme, Interactive Brokers LLC in SIPC and Interactive Brokers Canada in CIPF. We did not confirm cover for clients of the Australian, Singapore, Hong Kong and Japanese companies.
- Not met
Banking and custody arrangements are disclosed 6
We did not find the banks or custodians holding client money named in the documents we reviewed.
- Not determined
Withdrawal terms are disclosed
We did not review withdrawal fees and processing times.
Criteria and their weighting are explained in the methodology.
Enforcement and substantiated adverse findings 13% of score 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: 87.5 points.
- Met
Warning lists and enforcement records have been searched 891011121314
We reviewed FINRA’s BrokerCheck report and searched the FCA, ASIC, SFC, OFAC, CySEC and CVM records, the Indian and Malaysian alert lists, and ran web searches for actions by the firm’s other regulators. The searches are cited with their dates.
- Enforcement action
SEC and CFTC fine Interactive Brokers USD 55 million over off-channel communications 8
29 Sept 2023. Reduced the enforcement dimension by 5 points (moderate severity, 3 years before the review, counted at half weight).
- Enforcement action
- Enforcement action
US options exchanges fine Interactive Brokers USD 7.75 million for mismarking orders 8
30 Sept 2025. Reduced the enforcement dimension by 10 points (moderate severity, 1 years before the review).
- Enforcement action
FINRA fines Interactive Brokers USD 3.5 million over execution quality reviews 8
22 Dec 2023. Reduced the enforcement dimension by 10 points (moderate severity, 2.8 years before the review).
- Enforcement action
FINRA fines Interactive Brokers USD 2.25 million for failing to detect free-riding 8
30 Dec 2024. Reduced the enforcement dimension by 10 points (moderate severity, 1.8 years before the review).
- Enforcement action
SFC reprimands and fines Interactive Brokers Hong Kong HKD 4.2 million 12
28 Apr 2025. Reduced the enforcement dimension by 10 points (moderate severity, 1.4 years before the review).
- Enforcement action
Interactive Brokers Australia pays AUD 832,500 over suspicious trading controls 13
20 Sept 2023. Reduced the enforcement dimension by 5 points (moderate severity, 3 years before the review, counted at half weight).
- Enforcement action
CFTC order over supervision during April 2020 oil futures turmoil, with USD 82.57 million restitution 8
28 Sept 2021. Reduced the enforcement dimension by 12.5 points (high severity, 5 years before the review, counted at half weight).
- Enforcement action
NFA fines Interactive Brokers USD 250,000 for cancelling retail forex orders 8
14 Apr 2022. Reduced the enforcement dimension by 5 points (moderate severity, 4.5 years before the review, counted at half weight).
- Enforcement action
CFTC fines Interactive Brokers for overcharging exchange fees 8
30 Jun 2022. Reduced the enforcement dimension by 5 points (moderate severity, 4.3 years before the review, counted at half weight).
- Enforcement action
- Enforcement action
FCA fines Interactive Brokers (UK) GBP 1.05 million for market abuse controls 11
25 Jan 2018. Reduced the enforcement dimension by 2.5 points (moderate severity, 8.7 years before the review, counted at a quarter of its weight).
Criteria and their weighting are explained in the methodology.
Complaint handling and documented resolutions 8% of score How the firm handles complaints, and what independent records show.
- Met
A complaints procedure is published 6
The UK terms explain how to complain and how complaints are handled.
- Met
Independent dispute resolution is available 6
UK clients can take unresolved complaints to the Financial Ombudsman Service.
- Partly met
Independent complaint outcomes show no adverse pattern 15
In the ombudsman’s latest data, 37% of resolved cases about IBUK were upheld, slightly above the 34% average for investment complaints.
- Met
Criteria and their weighting are explained in the methodology.
Trading terms and operational transparency 8% of score Whether costs, execution and risks are disclosed before you sign up.
- Partly met
Costs are disclosed before account opening 1
Interactive Brokers publishes commission and fee schedules and states it charges no custody fees, but we did not review the CFD financing and currency conversion charges for this assessment.
- Not determined
An order execution policy is published
We did not review the order execution policy for this assessment.
- Met
The client agreement is available before sign-up 6
IBUK’s general terms of business can be read without an account.
- Not determined
Leverage and margin terms are disclosed
We did not find maximum leverage, margin call or close-out levels in the documents reviewed.
- Partly met
Risk warnings are clear and current 1
The UK site shows general risk warnings, but the homepage does not show the share of retail CFD accounts that lose money; we did not check the CFD pages.
Criteria and their weighting are explained in the methodology.
Public disclosures and communication 4% of score Whether public claims hold up and the firm communicates openly.
- Partly met
- Met
An address and working contact channels are published 1
Registered addresses, websites and phone numbers are published for each affiliate.
- Met
Material changes are communicated 6
The UK terms are dated and explain when and how Interactive Brokers can change them.
Criteria and their weighting are explained in the methodology.
On-site office verification 5% of score 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 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.
Interactive Brokers Ireland Limited
Central Bank of Ireland (CBI) · Reference C423427 5
Authorised as a MiFID investment firm, and as a crypto-asset service provider under the Markets in Crypto-Assets Regulation.
Authorised Verified on register, 4 Oct 2026
Interactive Brokers Australia Pty Ltd
Australian Securities and Investments Commission (ASIC) · Reference AFSL 453554 3
Licence start date 28 July 2016.
Authorised Verified on register, 4 Oct 2026
Interactive Brokers Singapore Pte Ltd
Monetary Authority of Singapore (MAS) · Reference CMS100917 4
Capital markets services licence: dealing in securities, collective investment schemes, exchange-traded and OTC derivatives and leveraged spot FX; product financing; custodial services.
MAS lists the company as a capital markets services licensee. The directory does not show licence numbers; CMS100917 is the number Interactive Brokers gives on its website.
Authorised Verified on register, 4 Oct 2026
Interactive Brokers LLC
U.S. Securities and Exchange Commission (SEC)
Registered broker-dealer; member of NYSE, FINRA and SIPC (as stated by Interactive Brokers)
FINRA’s BrokerCheck report for Interactive Brokers LLC (CRD 36418) is cited on this profile for its regulatory history; we did not verify the registration status separately.
Claimed by the firm, not yet verified
Commodity Futures Trading Commission (CFTC)
Registered futures commission merchant (as stated by Interactive Brokers)
Claimed by the firm, not yet verified
Interactive Brokers Hong Kong Limited
Securities and Futures Commission (SFC)
We did not check the SFC’s public register.
Claimed by the firm, not yet verified
Interactive Brokers Canada Inc.
Canadian Investment Regulatory Organization (CIRO)
CIRO member and member of the Canadian Investor Protection Fund (as stated by Interactive Brokers)
Claimed by the firm, not yet verified
Interactive Brokers Securities Japan Inc.
Financial Services Agency (JFSA) · Reference Kanto Local Finance Bureau No. 187
Claimed by the firm, not yet verified
Interactive Brokers Group, Inc.
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 action Settled
US options exchanges fine Interactive Brokers USD 7.75 million for mismarking orders 8
On 30 September 2025 Interactive Brokers LLC consented to censure and fines totalling USD 7.75 million from Nasdaq, NYSE, Cboe-affiliated, MIAX and BOX options exchanges for mismarking about 2.4 million transactions (15.3 million contracts) as customer rather than professional customer orders between 2009 and 2022, because its automated order-counting logic left out certain order types.
Enforcement action Settled
OFAC settlement of USD 11.8 million for apparent sanctions violations 810
On 15 July 2025 OFAC announced that Interactive Brokers LLC agreed to pay USD 11,832,136 to settle apparent violations of several US sanctions programmes between 2016 and 2024, including providing brokerage services to persons in Iran, Cuba, Syria and Crimea and processing transactions involving blocked persons. OFAC found the conduct non-egregious and voluntarily self-disclosed.
Enforcement action Concluded
SFC reprimands and fines Interactive Brokers Hong Kong HKD 4.2 million 12
On 28 April 2025 the SFC reprimanded and fined Interactive Brokers Hong Kong HKD 4.2 million for lending the securities of 7,911 clients between December 2017 and October 2020 on the basis of expired standing authorities, in breach of the client securities rules. The SFC noted the firm’s self-report and remediation and found no evidence of client loss.
Enforcement action Settled
FINRA fines Interactive Brokers USD 2.25 million for failing to detect free-riding 8
On 30 December 2024 FINRA censured and fined Interactive Brokers LLC USD 2.25 million because its surveillance did not detect customers in cash accounts buying and selling options before paying for them, so it did not impose the required 90-day account freezes.
Enforcement action Settled
FINRA fines Interactive Brokers USD 3.5 million over execution quality reviews 8
On 22 December 2023 FINRA censured and fined Interactive Brokers LLC USD 3.5 million, finding that its reviews of customer execution quality were ad hoc, poorly documented and did not consistently assess competing venues or price improvement opportunities, contrary to FINRA’s best execution rules.
Enforcement action Settled
SEC and CFTC fine Interactive Brokers USD 55 million over off-channel communications 8
On 29 September 2023 the SEC ordered Interactive Brokers LLC to pay USD 35 million, and the CFTC ordered Interactive Brokers Corp. and Interactive Brokers LLC to pay USD 20 million, because employees used unapproved messaging channels for business communications from at least 2019 that the firm did not preserve, and the firm failed to supervise this. The firm agreed to cease and desist and to retain an independent compliance consultant.
Enforcement action Concluded
Interactive Brokers Australia pays AUD 832,500 over suspicious trading controls 13
On 20 September 2023 ASIC announced that Interactive Brokers Australia had paid AUD 832,500 under an infringement notice from the Markets Disciplinary Panel, which found it negligent in failing to identify suspicious trading by a client in 2021, reckless in allowing further trading after ASIC raised concerns, and lacking the resources needed to comply with the law.
Enforcement action Settled
CFTC fines Interactive Brokers for overcharging exchange fees 8
On 30 June 2022 the CFTC found that Interactive Brokers LLC failed to supervise from 2015 to 2021, during which it overcharged customers exchange fees on certain futures spread trades, and ordered it to pay a USD 300,000 penalty and disgorgement of USD 710,828.
Enforcement action Settled
NFA fines Interactive Brokers USD 250,000 for cancelling retail forex orders 8
On 14 April 2022 NFA’s Business Conduct Committee accepted Interactive Brokers LLC’s settlement offer and fined it USD 250,000 on a complaint that it cancelled retail customer forex orders for reasons NFA rules do not permit and failed to supervise its employees’ forex activities.
Enforcement action Settled
CFTC order over supervision during April 2020 oil futures turmoil, with USD 82.57 million restitution 8
On 28 September 2021 the CFTC found that Interactive Brokers LLC failed to supervise diligently in April 2020, when crude oil futures traded at negative prices. It imposed a USD 1.75 million penalty and restitution of USD 82.57 million, which the firm had already paid to customers.
Enforcement action Settled
SEC, FINRA and CFTC fine Interactive Brokers USD 38 million over anti-money laundering failures 89
On 10 August 2020 Interactive Brokers LLC agreed to pay USD 11.5 million to the SEC, USD 15 million to FINRA and USD 11.5 million to the CFTC, after the SEC found it failed to file more than 150 suspicious activity reports on potentially manipulative microcap trading, and to retain an independent compliance consultant.
Enforcement action Concluded
FCA fines Interactive Brokers (UK) GBP 1.05 million for market abuse controls 11
On 25 January 2018 the FCA fined Interactive Brokers (U.K.) Limited GBP 1,049,412 for failing, between February 2014 and February 2015, to have adequate systems to detect and report suspicious transactions that might be market abuse.
Company response
Firms can respond to their profile and to any finding. No response has been published for Interactive Brokers. How firms can respond.
Assessment history
| Review date | Result | Methodology | Status |
|---|---|---|---|
| 4 Oct 2026 | Trust score 71 out of 100 Sound | 1.2 | Current |
Corrections and updates
No corrections have been made to this profile.
Sources
- 1 Interactive Brokers UK website: footer and affiliate information (opens in a new tab)
Lists each Interactive Brokers affiliate with its regulator, registration numbers and registered office: Interactive Brokers (U.K.) Limited (FCA 208159, company 03958476, 20 Fenchurch Street) and its DIFC branch (DFSA F008423); Interactive Brokers LLC (SEC, CFTC, NYSE, FINRA, SIPC); Interactive Brokers Canada Inc. (CIRO, CIPF); Interactive Brokers Ireland Limited (CBI C423427, CRO 657406, Irish Investor Compensation Scheme); Interactive Brokers Australia (AFSL 453554); Interactive Brokers Hong Kong (SFC); Interactive Brokers India (SEBI); Interactive Brokers Securities Japan (Kanto Local Finance Bureau No. 187); Interactive Brokers Singapore (MAS CMS100917). States that IBKR charges no custody fees. The homepage shows a general risk warning but no retail CFD loss percentage.
- 2 Financial Services Register: investment firms list (CSV), data as at 3 October 2026 (opens in a new tab)
Shows Interactive Brokers (U.K.) Limited (FRN 208159) with status Authorised, first authorised 6 February 2002.
- 3 Australian Financial Services Licensee dataset (October 2026) (opens in a new tab)
Lists AFSL 453554 held by Interactive Brokers Australia Pty Ltd (ABN 98166929568), Sydney, from 28 July 2016.
- 4 Financial Institutions Directory: Interactive Brokers Singapore Pte Ltd (opens in a new tab)
Lists Interactive Brokers Singapore Pte Ltd as a capital markets services licensee for dealing in securities, collective investment schemes, exchange-traded and OTC derivatives and leveraged spot FX, product financing and custodial services. Names Lin Yujun as chief executive officer.
- 5 Central Bank of Ireland register entry for Interactive Brokers Ireland Limited (opens in a new tab)
Lists Interactive Brokers Ireland Limited, reference C423427, as an investment firm authorised under Regulation 8(3) of the European Union (Markets in Financial Instruments) Regulations 2017, and as a crypto-asset service provider under the Markets in Crypto-Assets Regulation.
- 6 Interactive Brokers (U.K.) Limited General Terms of Business (30 May 2026) (opens in a new tab)
Dated 30 May 2026. Client money is held under the FCA client asset rules in segregated accounts alongside other clients’ assets. IBUK participates in the FSCS. Complaints can be made to IBUK and then to the Financial Ombudsman Service. Negative cash balances are treated as amounts owed to IBUK and an unpaid negative balance is an event of default; we did not find a statement of negative balance protection for retail CFD clients. The terms explain when IBUK may change them.
- 7 Interactive Brokers Group, Inc. Form 10-K for fiscal year 2025 (opens in a new tab)
Annual report filed with the SEC. Interactive Brokers Group, Inc. common stock trades on the Nasdaq Global Select Market as IBKR; about 73.7% of IBG LLC membership interests are held by IBG Holdings LLC, owned directly and indirectly by founder and chairman Thomas Peterffy and his affiliates.
- 8 BrokerCheck report: Interactive Brokers LLC (CRD 36418) (opens in a new tab)
FINRA’s official report lists more than 100 regulatory events for Interactive Brokers LLC since 2016, most of them settled exchange and FINRA matters. We record individually every action by a government regulator and every self-regulatory action with sanctions of USD 1 million or more since 2016. Smaller matters include FINRA fines of USD 650,000 (August 2025, options account approvals), USD 475,000 (October 2024, stock loan returns), USD 400,000 (April 2025, complaint reporting) and USD 150,000 and 125,000 (2025), a Nasdaq fine of USD 900,000 (December 2025, supervision of potentially manipulative trading through omnibus accounts), Cboe fines of USD 620,000 (July 2025) and NYSE Arca and Nasdaq fines of USD 295,000 and 475,000 (2023 and 2024).
- 9 SEC Charges Interactive Brokers With Repeatedly Failing to File Suspicious Activity Reports (opens in a new tab)
Interactive Brokers LLC agreed, without admitting or denying the findings, to pay USD 11.5 million to the SEC for failing to file more than 150 suspicious activity reports on microcap securities trading, alongside USD 15 million to FINRA and USD 11.5 million to the CFTC (USD 38 million in total), and to retain an independent compliance consultant.
- 10 Settlement Agreement between OFAC and Interactive Brokers LLC (opens in a new tab)
Interactive Brokers LLC agreed to pay USD 11,832,136 to settle apparent violations of several sanctions programmes, including providing services to persons in Iran, Cuba, Syria and Crimea and processing transactions involving blocked persons, between 2016 and 2024. OFAC found the conduct non-egregious and voluntarily self-disclosed.
- 11 Final Notice to Interactive Brokers (UK) Limited, 25 January 2018 (opens in a new tab)
The FCA fined IBUK GBP 1,049,412 for breaching Principle 3 through inadequate systems for detecting and reporting potential market abuse between February 2014 and February 2015.
- 12 SFC reprimands and fines Interactive Brokers Hong Kong Limited $4.2 million for regulatory breaches (opens in a new tab)
The SFC reprimanded and fined Interactive Brokers Hong Kong HKD 4.2 million because, between December 2017 and October 2020, it relied on expired standing authorities of 7,911 clients to lend their securities, owing to a programming error. The SFC noted the firm’s self-report and remediation and found no evidence of client loss.
- 13 23-255MR Interactive Brokers pays $832,500 penalty for ‘negligent’ and ‘reckless’ conduct (opens in a new tab)
Interactive Brokers Australia paid AUD 832,500 under an infringement notice from the Markets Disciplinary Panel, which found it negligent in failing to identify suspicious trading by a client in 2021 and reckless in allowing further suspicious trading after ASIC raised concerns.
- 14 Searches of FCA, ASIC, SFC, CySEC, CVM and US regulators’ records, and the Indian and Malaysian alert lists, for Interactive Brokers (opens in a new tab)
On 4 October 2026 we reviewed FINRA’s BrokerCheck report, searched the FCA’s, ASIC’s, SFC’s and OFAC’s websites, CySEC’s board decisions and Brazil’s CVM alerts, checked the Indian and Malaysian alert lists, and ran web searches for actions by the Central Bank of Ireland, MAS, CIRO and SEBI. Interactive Brokers is not on the Indian list; the Malaysian list includes only a clone using its name.
- 15 Business complaints data, July 2025 to March 2026 (opens in a new tab)
Lists Interactive Brokers (U.K.) Limited with 90 new cases in the period and 37% of resolved cases upheld (37.3% for investment complaints), against an average of 34% for investment complaints.
- 16 FCA firm-level complaints data: 2025 H2 (opens in a new tab)
Reports that Interactive Brokers (U.K.) Limited opened 1,116 complaints and closed 1,159 between July and December 2025, all about investments, and upheld 10.7% of them.
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