Forex Compliance Services
We Help Forex Brokers Manage Compliance
Forex brokers operate under tight rules and high expectations. We support your firm across registration, policy development, and daily compliance tasks to mitigate regulatory risks.
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As seen on:
As seen on:
Challenges
What Makes Forex Broker Compliance So Complex?
What Makes Forex Broker Compliance So Complex?
Running a forex brokerage means dealing with multiple regulators, evolving rules, and high operational pressure.
Running a forex brokerage means dealing with multiple regulators, evolving rules, and high operational pressure.
Leverage Is Heavily Restricted
In the US, you’re capped at 50:1. In Europe, it’s 30:1. And for some clients, it’s even lower. You need systems that enforce the right limits based on where your users are.
Leverage Is Heavily Restricted
In the US, you’re capped at 50:1. In Europe, it’s 30:1. And for some clients, it’s even lower. You need systems that enforce the right limits based on where your users are.
Leverage Is Heavily Restricted
In the US, you’re capped at 50:1. In Europe, it’s 30:1. And for some clients, it’s even lower. You need systems that enforce the right limits based on where your users are.
Marketing Rules Are Strict
From banners to onboarding flows, regulators watch how you present risk. Even small oversights can lead to warnings or fines.
Marketing Rules Are Strict
From banners to onboarding flows, regulators watch how you present risk. Even small oversights can lead to warnings or fines.
Marketing Rules Are Strict
From banners to onboarding flows, regulators watch how you present risk. Even small oversights can lead to warnings or fines.
Retail Clients Get Extra Protection
Negative balance protection, margin call procedures, and appropriateness checks all apply when you serve retail traders.
Retail Clients Get Extra Protection
Negative balance protection, margin call procedures, and appropriateness checks all apply when you serve retail traders.
Retail Clients Get Extra Protection
Negative balance protection, margin call procedures, and appropriateness checks all apply when you serve retail traders.
Regulators
Regulators That Oversee Forex Brokers
There’s no one-size-fits-all regulator for forex brokers. Depending on where you operate and who your clients are, you may need to comply with multiple agencies, each with its own rules.
Frameworks
Which Regulatory Frameworks Apply to Forex Brokers?
Which Regulatory Frameworks Apply to Forex Brokers?
Forex brokers must comply with a patchwork of rules that cover leverage, disclosures, client money, and more. These frameworks guide how firms are expected to operate in the US and globally.
Forex brokers must comply with a patchwork of rules that cover leverage, disclosures, client money, and more. These frameworks guide how firms are expected to operate in the US and globally.
How We Help
Let Us Manage Compliance While You Focus on Growth
01
Getting Licensed and Registered
We help you figure out which licenses apply, prepare regulatory filings, and walk you through registration with US regulators.
01
Getting Licensed and Registered
We help you figure out which licenses apply, prepare regulatory filings, and walk you through registration with US regulators.
02
Building Your Compliance Program
We create your AML framework, write policies, and set up your vendor and risk oversight systems based on where and how you operate.
02
Building Your Compliance Program
We create your AML framework, write policies, and set up your vendor and risk oversight systems based on where and how you operate.
03
Running Your Day-to-Day Compliance
We manage your ongoing compliance tasks like communications review, transaction surveillance, and regulatory filings so your team stays focused.
03
Running Your Day-to-Day Compliance
We manage your ongoing compliance tasks like communications review, transaction surveillance, and regulatory filings so your team stays focused.
Why InnReg
A Compliance Partner Who Understands Forex
We’ve helped launch and manage compliance programs for forex brokers dealing with tight regulations, high risk, and fast-moving markets. From leverage restrictions to cross-border licensing, our team knows how to handle the details without slowing down your product or growth.
Decades of Experience
Our team brings together multiple decades of cumulative experience in regulatory compliance and fintech.
Decades of Experience
Our team brings together multiple decades of cumulative experience in regulatory compliance and fintech.
Full-Service Solutions
InnReg can cover your entire compliance journey, from strategic planning to daily operations.
Full-Service Solutions
InnReg can cover your entire compliance journey, from strategic planning to daily operations.
Seamless Integration
InnReg's team integrates into your organization to complement your existing resources and structures.
Seamless Integration
InnReg's team integrates into your organization to complement your existing resources and structures.
Expertise on Your Niche
Work directly with our regulatory specialists, each selected for their unique expertise in your specific niche.
Expertise on Your Niche
Work directly with our regulatory specialists, each selected for their unique expertise in your specific niche.
Worldwide Expertise
With a diverse team around the globe, InnReg supports international firms in navigating multi-jurisdictional landscapes.
Worldwide Expertise
With a diverse team around the globe, InnReg supports international firms in navigating multi-jurisdictional landscapes.
Cost-Effective Services
Compliance outsourcing for financial services firms can provide significant cost savings while promoting innovation.
Cost-Effective Services
Compliance outsourcing for financial services firms can provide significant cost savings while promoting innovation.
Resources
Latest Content
Articles
Downloads
Apr 22, 2025
·
16 min read
Articles
Downloads
Apr 22, 2025
·
16 min read
FAQ
Your Forex Broker Compliance Questions Answered
Your Forex Broker Compliance Questions Answered
What is required to register as a forex broker in the US?
What is required to register as a forex broker in the US?
Can a forex broker serve US clients if licensed overseas?
Can a forex broker serve US clients if licensed overseas?
What’s the difference between retail and institutional forex?
What’s the difference between retail and institutional forex?
How much capital is required for RFED registration?
How much capital is required for RFED registration?
What principal roles must a forex broker fill?
What principal roles must a forex broker fill?
How long does forex broker registration take?
How long does forex broker registration take?
What’s the application process like for RFED registration?
What’s the application process like for RFED registration?
What are the key NFA rules for forex brokers?
What are the key NFA rules for forex brokers?
What are the CFTC’s and NFA's advertising rules for forex brokers?
What are the CFTC’s and NFA's advertising rules for forex brokers?
Do forex brokers need to report suspicious trading activity?
Do forex brokers need to report suspicious trading activity?
Let's Get Started
Let's Get Started
Who We Serve
Compliance Services
Compliance Consulting
Compliance Operations
Licensing Services
Resources
About InnReg
The content provided on this website is for informational purposes only and does not constitute legal, investment, tax, or other professional advice. InnReg LLC is not a law firm, tax advisor, or regulated financial institution. Viewing this site or contacting InnReg does not create a client relationship. Results described in case studies or testimonials may not be typical and do not guarantee future outcomes. Tools, spreadsheets, or guides available on this site are provided for illustrative purposes only and should not be relied upon without professional guidance. Any links to third-party websites are provided for convenience and do not constitute endorsement or responsibility for their content. The information on this site may not be applicable in all jurisdictions. While we strive to provide accurate content, we make no representations as to its completeness or timeliness. Some visual assets on this site are sourced from Freepik.
Who We Serve
Compliance Services
Compliance Consulting
Compliance Operations
Licensing Services
Resources
About InnReg
The content provided on this website is for informational purposes only and does not constitute legal, investment, tax, or other professional advice. InnReg LLC is not a law firm, tax advisor, or regulated financial institution. Viewing this site or contacting InnReg does not create a client relationship. Results described in case studies or testimonials may not be typical and do not guarantee future outcomes. Tools, spreadsheets, or guides available on this site are provided for illustrative purposes only and should not be relied upon without professional guidance. Any links to third-party websites are provided for convenience and do not constitute endorsement or responsibility for their content. The information on this site may not be applicable in all jurisdictions. While we strive to provide accurate content, we make no representations as to its completeness or timeliness. Some visual assets on this site are sourced from Freepik.
Who We Serve
Compliance Services
Compliance Consulting
Compliance Operations
Licensing Services
Resources
About InnReg
The content provided on this website is for informational purposes only and does not constitute legal, investment, tax, or other professional advice. InnReg LLC is not a law firm, tax advisor, or regulated financial institution. Viewing this site or contacting InnReg does not create a client relationship. Results described in case studies or testimonials may not be typical and do not guarantee future outcomes. Tools, spreadsheets, or guides available on this site are provided for illustrative purposes only and should not be relied upon without professional guidance. Any links to third-party websites are provided for convenience and do not constitute endorsement or responsibility for their content. The information on this site may not be applicable in all jurisdictions. While we strive to provide accurate content, we make no representations as to its completeness or timeliness. Some visual assets on this site are sourced from Freepik.