Interactive Brokers Group, Inc. is a global securities firm that provides direct access ("on line") trade execution and clearing services to institutional and professional traders for a wide variety of electronically traded products including stocks, options, futures, forex, fixed income and funds worldwide.
The company is headquartered in Greenwich, Connecticut and has offices in the USA, Switzerland, Canada, Hong Kong, UK, Australia, Hungary, Russia, Japan, India, China and Estonia. The firm is regulated by the SEC, FINRA, NYSE, FCA and other regulatory agencies around the world.
IB’s office address in the regulatory information is Grosvenor Place' Level 40, 225 GeorGe STreeT, SYDNEY NSW 2000. The investigators carried out a field trip to this licensed broker.
The survey personnel successfully found this relatively new company building and entered it.
The survey personnel took the elevator to the 40th floor. When walking out, they saw the broker’s logo on the electronic screen next to the elevator.
Since the logo on the glass door was very eye-catching, the personnel easily found IB’s office.
They first saw the logo and the reception area. Since no one was there at the time, the personnel could not enter the office for a closer look.
The investigators, based on the result of the field trip, confirmed the authenticity of IB’s address in the regulatory information. The broker holds a MM licenses (regulatory number: 453554) by Australian Securities and Investment Commission, a MM license (regulatory number: 208159) by Financial Conduct Authority and a retail license by Financial Services Agency (regulatory number: 4010001100892). IB also has a futures contracts&foreign exchange trading license (regulatory number: ADI249) by Securities and Futures Commission, but its another futures contracts&foreign exchange trading license (regulatory number: AEX264) has been canceled.
15-20 years | Regulated in Australia | Regulated in United Kingdom | <…
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