Institution record
Pepperstone
PEPPERSTONE GROUP LIMITED
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (crypto exchanges and digital-asset service providers) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
BaFinTier-1 In our coverage Bundesanstalt für Finanzdienstleistungsaufsicht | 151148 | Exceeded scope | Pepperstone GmbH | — | |
SCBOffshore In our coverage Securities Commission of The Bahamas | SIA-F217 | Offshore | Pepperstone Markets Limited | — | |
DFSATier-2 In our coverage Dubai Financial Services Authority | F004356 | Regulated | Pepperstone Financial Services (DIFC) Limited | 2020-03-11 | |
CYSECTier-2 Cyprus Securities and Exchange Commission | 388/20 | Regulated | Pepperstone EU Limited | 2020-08-03 | |
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 crypto exchanges and digital-asset service providers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Pepperstone (this record) | BaFinSCBDFSA+3 | 4 / 6 | Risk level not supplied | — | 0 |
| Coinbase | MASBMAAMF+6 | 9 / 9 | Risk level not supplied | — | 1 |
| Saxo | FINMAMASAMF+5 | 8 / 8 | Risk level not supplied | — | 0 |
| Mizuho Securities | BaFinMASSFC+4 | 6 / 7 | Risk level not supplied | — | 0 |
| Bitpanda | FMABaFinFMA+3 | 5 / 6 | Risk level not supplied | — | 0 |
| Blackwell Global | SFCSCBSFC+3 | 5 / 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: 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; CYSEC (Cyprus Securities and Exchange Commission) — licence 388/20, 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 BaFin, SCB, DFSA public register.
Which of Pepperstone's jurisdictions and licences fall within this site's regulatory coverage?
This directory focuses on crypto exchanges and digital-asset service providers. 3 of Pepperstone's 6 licence records fall directly within this jurisdictional mandate: BaFin (licence 151148, exceeded scope, entity: Pepperstone GmbH); SCB (licence SIA-F217, offshore, entity: Pepperstone Markets Limited); DFSA (licence F004356, regulated, entity: Pepperstone Financial Services (DIFC) Limited). Always confirm whether client money segregation and statutory investor compensation schemes apply to the specific subsidiary onboarding your account.
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 BaFin.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from Institutional Ledger relevant to Pepperstone's supervisory scope.
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