Compliance library
Access important account forms and compliance resources.
United Kingdom
StoneX Financial Ltd. (SFL) Regulatory Disclosures
StoneX Financial Ltd is registered in England and Wales, company number: 05616586. Authorised and regulated by the Financial Conduct Authority, FRN: 446717. SFL is a wholly owned subsidiary of StoneX Group Inc.
ISDA documents
ISDA Copyright Notice
General Disclosure Statement for Transactions
Disclosure Annex for Commodity Derivative Transactions
Disclosure Annex for Foreign Exchange Transactions
Disclosure Annex for Interest Rate Transactions
Disclosure Annex for Equity Derivative Transactions
Notification of Rights to Segregation of Initial Margin
SML Documents
Financial Crime Prevention and KYC Documents
SFL KYC Docupack
SFL AML Statement
SFL Modern Slavery Statement
SFL Responsible Sourcing Policy
SFL Tax Strategy
SFL Sanctions Statement
SFL Child Labour Statement
SFL ABC Statement
Templates & disclosures
Disclosures for opening an account through StoneX Financial Ltd. For Account Opening, alongside Risk & European Exchange Disclosures (LME, ICE, Europe) for customers of StoneX Financial Ltd. Full account documents are not currently available online.
StoneX Financial Ltd Gender Pay Gap Report 2020/2021
StoneX Financial Ltd Gender Pay Gap Report 2021/2022
StoneX Financial Ltd Gender Pay Gap Report 2022/2023
StoneX Financial Ltd Gender Pay Gap Report 2023/2024
StoneX Financial Ltd Gender Pay Gap Report 2024/2025
Risk Disclosure Annex for Foreign Exchange Transactions
2015 ICE Futures Europe Rule 1.25 Risk Disclosures
2020 Guide to LME Structure, Market Technology and Order Execution
IFL Direct Electronic Access Compliance Manual
StoneX Financial Ltd. Conflicts of Interest Policy
MiFID & EMIR disclosure documents
This section contains required disclosures for StoneX Financial Ltd and the FCM Division of StoneX Financial Inc. In respect of the European Markets Infrastructure Regulations (“EMIR”) and Markets in Financial Instruments Directive (MiFID)
SFL Wholesale Markets Execution Policy
SFL Direct Electronic Access “DEA” Due Diligence Questionnaire
SFL EMIR Clearing Member Fees Disclosure
SFL Clearing Member Disclosure – Direct and Indirect Clearing
Complaints
We aim to provide a high standard of service to all our clients on every occasion.
However, if you wish to raise a complaint about any aspect of our service, you can contact our Advisory Compliance Team on (+44) 203 580 6000, email sfladvisorycompliance@stonex.com or send a copy of your complaint to:
Advisory Compliance Team
StoneX Financial Ltd.
Moor House, 1st Floor
120 London Wall
London
EC2Y 5ET
PLEASE NOTE: If your complaint relates to services provided by City Index or FOREX.com, the complaints handling process is slightly different. Please see the relevant complaints section of the City Index and FOREX.com websites:
https://www.cityindex.co.uk/terms-and-policies/important-information/
https://www.forex.com/en-uk/terms-and-policies/important-information/
Complaints procedure
To help us investigate and resolve your complaint as quickly as possible and with minimum inconvenience to you, please make sure you give us as much information as possible, including:
- Your name, address and client account number
- A clear description of your complaint
- Details of what you would like us to do to put it right
- Copies of any relevant documents, such as letters
- A daytime telephone number where we can contact you
Once received your complaint will be referred to our Compliance Department who will:
- Send you a prompt written acknowledgement
- Issue you a final response within eight weeks of the complaint logged date setting out our view and your options
If you are not satisfied with the outcome of your complaint, you can request a review from the Financial Ombudsman Service. The Financial Ombudsman Service has been established to review eligible complaints which firms are unable to resolve.
In our final response, we will confirm your eligibility to refer your complaint to the Financial Ombudsman Service which must take place within six months of our final response. The Financial Ombudsman Service’s contact details are outlined below:
The Financial Ombudsman Service
Exchange Tower
London
E14 9SR
Telephone: 0300 123 9 123 or 0800 023 4567
Website: www.financial-ombudsman.org.uk
Legal:
The trading of commodities and derivatives such as futures, options, and swaps involves substantial risk of loss and may not be suitable for all investors. Advisory services as well as the trading of futures and options is available through various subsidiaries of StoneX Group Inc. including but not limited to the FCM Division of StoneX Financial Inc. Public Disclosures for the FCM Division of StoneX Financial Inc. The trading of over-the-counter products or swaps is available through subsidiary StoneX Markets LLC to individuals or firms who qualify under CFTC rules as an eligible contract participant. Please click here for the full disclaimer.
Important Information About Procedures for Opening A New Account
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account.
What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver's licence or other identifying documents.
Client Service centre
Do you have a question about your new or existing account? Need more information on how to fill out an account form?
Our Client Service centre is here to assist you with your needs.
Call toll-free 1-877-414-4435 from 8 am – 4:30 pm Central Time, Monday-Friday for prompt and reliable assistance or email CSC@stonex.com.
Open an account
Every company and every trader deserves access to global markets, institutional-grade platforms, and reliable intelligence from around the world. We provide that access.
Please complete the Account Request Form by telling us what you are looking to accomplish. A representative will help get you connected with the appropriate department.
Stay vigilant against rising online scams
Protect yourself by safeguarding personal data, verifying communications, using strong passwords, avoiding suspicious offers, and reporting scams to law enforcement.
StoneX: We open markets
Our market expertise, advanced platforms, global reach, culture of full transparency and commitment to our clients’ success all set us apart in the financial marketplace.
Reach
With access to 40+ derivatives exchanges, 180+ foreign exchange markets, nearly every global securities marketplace and numerous bilateral liquidity venues, StoneX’s digital network and deep relationships can take clients anywhere they want to go.
Transparency
As a publicly traded company meeting the highest standards of regulatory compliance in the markets we serve, our financials and track record are matters of public record. StoneX’s commitment to “doing the right thing over the easy thing” sets us apart in the industry and helps us build respect, client trust and new partnerships.
Expertise
From our proprietary Market Intelligence platform to “boots-on-the-ground” expertise from award-winning traders and professionals, we connect our clients directly to actionable insights they can use to make more informed decisions and achieve their goals in the global markets.
© 2026 StoneX Group Inc. all rights reserved.
The subsidiaries of StoneX Group Inc. provide financial products and services, including, but not limited to, physical commodities, securities, clearing, global payments, risk management, asset management, foreign exchange, and exchange-traded and over-the-counter derivatives. These financial products and services are offered in accordance with the applicable laws in the jurisdictions in which they are provided and are subject to specific terms, conditions, and restrictions contained in the terms of business applicable to each such offering. Not all products and services are available in all countries. The products and services offered by the StoneX Group of companies involve risk of loss and may not be suitable for all investors. Full Disclaimer.
This website is not intended for residents of any particular country, and the information herein is not advice nor a recommendation to trade nor does it constitute an offer or solicitation to buy or sell any financial product or service, by any person or entity in any jurisdiction or country where such distribution or use would be contrary to local law or regulation. Please refer to the Regulatory Disclosure section for entity-specific disclosures.
No part of this material may be copied, photocopied or duplicated in any form by any means or redistributed without the prior written consent of StoneX Group Inc. The information herein is provided for informational purposes only. This information is provided on an ‘as-is’ basis and may contain statements and opinions of the StoneX Group of companies as well as excerpts and/or information from public sources and third parties and no warranty, whether express or implied, is given as to its completeness or accuracy. Each company within the StoneX Group of companies (on its own behalf and on behalf of its directors, employees and agents) disclaims any and all liability as well as any third-party claim that may arise from the accuracy and/or completeness of the information detailed herein, as well as the use of or reliance on this information by the recipient, any member of its group or any third party.