Institution record
Saxo
Saxo Bank A/S
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (stock brokers, investment platforms and wealth managers) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
FCATier-1 Financial Conduct Authority | 551422 | Regulated | Saxo Capital Markets UK Limited | 2011-10-05 | |
DKFSATier-1 Danish Financial Supervisory Authority | Number pending check | Regulated | Saxo Bank A/S | 2001-06-27 | |
FINMATier-1 Swiss Financial Market Supervisory Authority | Number pending check | Regulated | SAXO BANK (SCHWEIZ) AG | — | |
MASTier-1 Monetary Authority of Singapore | Not supplied | Regulated | SAXO CAPITAL MARKETS PTE. LTD. | — | |
ASICTier-1 Australian Securities and Investments Commission | 280372 | Regulated | SAXO CAPITAL MARKETS (AUSTRALIA) LIMITED | 2004-12-07 | |
CONSOBTier-1 Commissione Nazionale per le Società e la Borsa | 296 | Regulated | BG SAXO SIM SPA | 2018-12-28 | |
AMFTier-1 Autorité des marchés financiers | 71081 | Regulated | Saxo bank A/S | — | |
FSATier-1 Financial Services Agency | Kanto Local Finance Bureau (FIBO) No. 239 | Regulated | Saxo Bank Securities Ltd. | 2007-09-30 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Saxo against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Saxo (this record) | FCADKFSAFINMA+5 | 8 / 8 | Risk level not supplied | — | 0 |
| Doo Prime | FCAFINRASEC+4 | 7 / 7 | Risk level not supplied | — | 1 |
| Swissquote | FCASFCCYSEC+3 | 5 / 6 | Risk level not supplied | — | 0 |
| EC Markets | FMAFCAASIC+2 | 3 / 5 | Risk level not supplied | — | 0 |
| IB | IIROCFCAASIC+2 | 5 / 5 | Risk level not supplied | — | 0 |
| Tiger Brokers | SFCFINRAASIC+1 | 4 / 4 | Risk level not supplied | — | 0 |
Saxo: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Saxo's regulatory licence status and supervisory authorisation?
In our imported dataset, Saxo (legal entity reference: Saxo Bank A/S) holds 8 recorded licence entries, of which 8 carry a "regulated" status and 8 are marked regulated or registered: FCA (Financial Conduct Authority) — licence 551422, status: regulated, Tier-1; DKFSA (Danish Financial Supervisory Authority) — licence Number pending check, status: regulated, Tier-1; FINMA (Swiss Financial Market Supervisory Authority) — licence Number pending check, status: regulated, Tier-1; MAS (Monetary Authority of Singapore) — licence Not supplied, status: regulated, Tier-1; ASIC (Australian Securities and Investments Commission) — licence 280372, status: regulated, Tier-1; CONSOB (Commissione Nazionale per le Società e la Borsa) — licence 296, status: regulated, Tier-1; AMF (Autorité des marchés financiers) — licence 71081, status: regulated, Tier-1; FSA (Financial Services Agency) — licence Kanto Local Finance Bureau (FIBO) No. 239, 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 FCA, DKFSA, FINMA public register.
Which of Saxo's jurisdictions and licences fall within this site's regulatory coverage?
Saxo is registered at 19th Floor Shanghai Commercial Bank Tower 12 Queen’s Road Central Hong Kong and tracked under our stock brokers, investment platforms and wealth managers scope based on its institutional service profile (CFDs, Forex, Stocks, Futures, Options, Bonds) rather than a domestic focus licence. Its 8 recorded licences (FCA, DKFSA, FINMA, MAS, ASIC, CONSOB, AMF, FSA) should be evaluated for cross-border passporting and local solicitation rules.
What is Saxo's institutional risk classification, enforcement exposure, and score profile?
Saxo 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. 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 Saxo's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Saxo (listed execution software: SaxoTraderGO), institutional and retail allocators should: (1) confirm the domain (home.saxo/en-gb) 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 FCA.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from ETFYield Lab relevant to Saxo's supervisory scope.
Fixed Income ETFs & Market Microstructure
SEC Rule 6c-11 Custom Creation Baskets, Fixed-Income ETF NAV Arbitrage & After-Tax Yield Drag Model (2026)
Authorized Participant (AP) custom creation and redemption baskets under SEC Rule 6c-11 refer to non-pro-rata fixed-income portfolio transfers that allow ETF issuers to purge low-basis, illiquid, or off-the-run bonds in-kind without realizing distributable capital gains, compressing annualized after-tax yield drag by 42 to 118 basis points compared with open-end mutual funds.
TIPS & Inflation Breakevens
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math: 30-Day SEC Yield vs. Trailing 12-Month Distribution Yield Audit (4.32% Implied Box Spread Rate Benchmark)
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math (BOXX-SYNTHETIC-BOX) stands at 4.32% (Implied Box Spread Rate) (Source: Cboe SPX Box Options / IRS Sec 1256, 2026-10-20), governing Form N-1A Item 26 ac
ETF Fee Drag & SEC Yield Audits
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math: 10-Year Expense Ratio Fee Drag & Compounding Simulation ($100k) (4.32% Implied Box Spread Rate Benchmark)
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math (BOXX-SYNTHETIC-BOX) stands at 4.32% (Implied Box Spread Rate) (Source: Cboe SPX Box Options / IRS Sec 1256, 2026-10-20), governing basis-point fee diff
Corporate & Municipal Bond ETFs
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math: Modified Duration, DV01 & +/-100 bps Parallel Yield Shock Table (4.32% Implied Box Spread Rate Benchmark)
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math (BOXX-SYNTHETIC-BOX) stands at 4.32% (Implied Box Spread Rate) (Source: Cboe SPX Box Options / IRS Sec 1256, 2026-10-20), governing second-order Taylor