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Regulation and Licensing

Pepperstone is regulated by the Australian Securities and Investment Commission (ASIC) in Australia and the Financial Conduct Authority (FCA) in the United Kingdom.

Please refer to this page to review the Pepperstone legal documentation that’s relevant to your region.

ASIC Licence

Pepperstone Group Limited is registered in Australia (under ACN 147 055 703). Pepperstone Group Limited is regulated by the Australian Securities and Investments Commission (ASIC) and is the holder of an Australian Financial Services Licence (AFSL). ASIC requires financial services firms to meet strict capital requirements and to implement and comply with internal procedures including risk management, staff training, accounting and audits.

Trading with Pepperstone Group Limited

  • ASIC regulated (AFSL 414530)
  • Professional Indemnity Insurance with Lloyds of London
  • Client accounts maintained with an Australian bank, National Australia Bank
  • Independently audited by global accounting firm, Ernst & Young

How are my funds held with Pepperstone Group Limited?

When you fund your trading account with Pepperstone Group Limited, your money is held in a segregated client bank account for your benefit and kept entirely separate from Pepperstone Group Limited’s own funds, in compliance with Australian client money rules.

Bank Accounts

All client funds are deposited into segregated client accounts held with top-tier bank, National Australia Bank.

Regulation and Risk

Pepperstone Group Limited’s AFSL applies to its Australian financial services activities only. Whilst ASIC is a robust regulator, it does not endorse specific products. You should be mindful of the risks of trading CFDs and margin FX products. Trading is not suitable for everyone and may result in you losing substantially more than your initial investment. Please refer to our full Risk Disclosure Statement for more information.

FCA Licence

Pepperstone Limited is registered in England & Wales (under Company Number 08965105) and is regulated by the Financial Conduct Authority (FCA). The FCA requires financial services firms to meet strict capital requirements and to implement and comply with internal procedures including risk management, staff training, accounting and audits.

Trading with Pepperstone Limited

  • FCA regulated (FCA registration number FRN 684312)
  • Professional Indemnity Insurance with Lloyds of London
  • Client accounts maintained with a top tier UK bank, Barclays
  • Independently audited by global accounting firm, Ernst & Young

How are my funds held with Pepperstone Limited?

When you fund your trading account with Pepperstone Limited, your money is held in a segregated client bank account for your benefit and kept entirely separate from Pepperstone Limited’s own funds, in compliance with FCA client money rules.

Bank Accounts

All client funds are deposited into client segregated accounts held with top-tier bank, Barclays.

Regulation and Risk

Pepperstone Limited’s regulatory authorisations apply to its UK and EEA financial services activities only. You should be mindful of the risks of trading CFDs and margin FX products. Trading is not suitable for everyone and may result in you losing substantially more than your initial investment. Please refer to our full Risk Disclosure Statement for more information.

UK Financial Services Compensation Scheme Protection (FSCS)

The FSCS is the UK’s compensation fund of last resort for clients of FCA authorised financial services firms. Pepperstone Limited’s clients fall under the ‘investments’ claim category which provides cover of up to £50,000 per person, per firm, in the event of a firm’s default or insolvency.