FCA: Financial Conduct Authority

The conduct regulator for financial services firms in the UK. Firms must generally be authorised or registered to carry out regulated activities, and the public Financial Services Register lists authorised firms, their permissions and trading names.

Jurisdiction: United Kingdom. The register is the primary place to confirm an entity’s current status and permissions; this guide does not certify a broker or account.

Authorised firm (Part 4A permission)

Permissions list the specific regulated activities allowed. Dealing in investments as principal or agent is a separate permission from advising.

Appointed representative

Operates under the responsibility of an authorised principal firm. Confirm the principal and the scope of the arrangement.

EEA / temporary regimes

Historic passporting and transitional regimes have changed. Check current status rather than relying on older disclosures.

General description only. It does not imply that any particular broker holds any of these authorisations.

1. 1Locate the legal entity name and Firm Reference Number (FRN) in the provider’s legal documents.
2. 2Search the Financial Services Register on the FCA website and open the firm’s record.
3. 3Compare registered trading names, websites, address and phone numbers against the site you are using.
4. 4Review the FCA Warning List for clone firms using similar names or reference numbers.

• Exact legal entity name and licence or registration number.
• Current licence or registration status and authorised activities.
• Retail or wholesale permissions where the register distinguishes them.
• Registered website, contact details and any authorised-representative relationship.

A licence belonging to one group entity does not automatically apply to every client, country, website or product offered under the same brand. Confirm the contracting entity and whether the listed permissions cover your client type and activity.

For a practical search sequence, read how to check if a broker is regulated and how to read a register entry.