Regulation & Safety
Is ASB Securities Regulated? (2026)
Complete regulatory breakdown for ASB Securities (headquartered in Auckland, New Zealand). Licensed by 1 regulator.
1
Licence
Tier-2
Highest tier
No
Compensation scheme
1994
Founded
Tier-2 Regulated Broker
Solid regulatory framework with investor protection. May have lower capital requirements than tier-1 but still enforces fund segregation.
ASB Securities is regulated by FMA — providing regulatory oversight for your account.
See full licence details belowASB Securities Regulatory Licences
| Regulator | Jurisdiction | Tier | Leverage Cap | Compensation | Fund Seg. |
|---|---|---|---|---|---|
FMA Financial Markets Authority | New Zealand | Tier-2 | 1:500 max | None |
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Deriv
4.0Capital at risk · T&Cs apply
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United Kingdom
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United States
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Germany
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Singapore
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ASB Securities vs Regulated Competitors
| Broker | Rating | Regulators | Highest tier |
|---|---|---|---|
| ASB Securities | 2.6 | FMA | Tier-2 |
 Interactive Brokers | 4.4 | SEC, MAS, FCA, ASIC | Tier-1 |
 Forex.com | 4.4 | MAS, CFTC, FCA, ASIC | Tier-1 |
 Kraken | 4.3 | CFTC, FCA | Tier-1 |
 OANDA | 4.3 | KNF, ASIC, MAS, CFTC | Tier-1 |
 IG Group | 4.3 | SEC, MAS, FCA, ASIC | Tier-1 |
 Coinbase | 4.3 | FCA, SEC | Tier-1 |
 Crypto.com | 4.3 | MAS, FCA | Tier-1 |
 Upbit | 4.3 | MAS, FSC | Tier-1 |
Compare ASB Securities regulation in detail
ASB Securities Regulation — What You Need to Know
Regulation is one of the most important factors when choosing a broker. A well-regulated broker must segregate client funds from its own operating capital, maintain minimum capital reserves, and submit to regular audits. This protects your money in the event of broker insolvency.
ASB Securities holds 1 regulatory licence from FMA. The broker has been operating since 1994, giving it 32 years of track record.
When evaluating broker safety, look beyond the licence itself: check for investor compensation schemes, negative balance protection, and whether the broker publishes audited financial statements. Our rating methodology weights regulation at 25% of the overall broker score — the single largest factor. See our broker regulation map for a global overview of which regulators oversee the most brokers.
Regulation Map
Which regulators oversee the most forex brokers worldwide
What is Regulation?
Glossary definition of broker regulation
Rating Methodology
How regulation weighs in our broker scores
Risk warning: Trading CFDs and forex carries significant risk. Ensure you understand the risks and that the broker is properly regulated in your jurisdiction before depositing funds.
Frequently Asked Questions
1Is ASB Securities regulated?
Yes, ASB Securities is regulated by FMA. Check the details above for the specific protections each licence provides.
2Is my money safe with ASB Securities?
ASB Securities is regulated, but the level of fund protection depends on the specific licence. Always check whether your specific account is covered by an investor compensation scheme.
3What is the difference between tier-1 and offshore regulation?
Tier-1 regulators (FCA, ASIC, SEC, BaFin) enforce the strictest rules: mandatory fund segregation, high capital requirements, regular audits, and investor compensation schemes. Offshore regulators (FSA Seychelles, VFSC, IFSC) have lighter requirements, which means higher leverage is available but with less investor protection.
4Can I trust ASB Securities with a large deposit?
For large deposits, regulatory status is critical. Consider whether ASB Securities's regulatory framework provides sufficient protection for your deposit size. Tier-1 regulated brokers offer the strongest guarantees. Always start with a smaller amount to test withdrawals before depositing large sums.
5How do I verify ASB Securities's licence?
You can verify ASB Securities's regulatory status directly on each regulator's website. Look up the licence number on the regulator's official register.
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