Institution record
CMS Financial
CMS Financial LLC
- Source score
- 2.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (investment firms and financial institutions headquartered across continental europe) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
Securities and Commodities Authority | 20200000144 | Regulated | CMS Financial LLC | 2004-09-19 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing CMS Financial against peer institutions in our investment firms and financial institutions headquartered across continental europe dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| CMS Financial (this record) | SCA | 1 / 1 | Risk level not supplied | 2.0 | 0 |
BaFinAMFFI+1 | 4 / 4 | Risk level not supplied | 5.0 | 0 | |
CYSECCNMVFSCA | 3 / 3 | Risk level not supplied | 6.5 | 0 | |
AFMEstonian Financial Intelligence Unit (FIU / RAB) | 2 / 2 | Risk level not supplied | 5.0 | 0 | |
Financial Supervision CommissionBulgarian National Bank (BNB) | 2 / 2 | Risk level not supplied | 5.0 | 0 | |
Estonian Financial Intelligence Unit (FIU / RAB)AMF | 1 / 2 | Risk level not supplied | 4.0 | 0 |
CMS Financial: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is CMS Financial's regulatory licence status and supervisory authorisation?
In our imported dataset, CMS Financial (legal entity reference: CMS Financial LLC) holds 1 recorded licence entry, of which 1 carries a "regulated" status and 1 are marked regulated or registered: SCA (Securities and Commodities Authority) — licence 20200000144, status: regulated. 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 SCA public register.
Which of CMS Financial's jurisdictions and licences fall within this site's regulatory coverage?
CMS Financial is registered at 1403, International Business Tower, Business Bay, Dubai, UAE. 1403,INTERNATIONAL BUSINESS TOWER,BUSINESS BAY,DUBAI,UAE and tracked under our investment firms and financial institutions headquartered across continental europe scope based on its institutional service profile (Stock CFDs, Indices, Forex, Commodities) rather than a domestic focus licence. Its 1 recorded licence (SCA) should be evaluated for cross-border passporting and local solicitation rules.
What is CMS Financial's institutional risk classification, enforcement exposure, and score profile?
CMS Financial carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 2.0, risk & licensing: 10.0, brand: 2.0, market influence: 2.0, user reputation: 0.0). 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 CMS Financial's platforms, entity structure, and complaints?
Before allocating capital or executing trades with CMS Financial, institutional and retail allocators should: (1) confirm the domain (not supplied in source) 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 SCA.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from Euro Firm Ledger relevant to CMS Financial's supervisory scope.
MiFID II & MiCA Transposition
PSD2 SCA Exemption Audit — NCAs Register Tie-Out: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of psd2 sca exemption audit focusing on ncas register tie-out. Covers statutory register tie-out (EU-MICA), 8.4 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
Competent Authorities
PSD2 SCA Exemption Audit — Passporting Notification Log: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of psd2 sca exemption audit focusing on passporting notification log. Covers statutory register tie-out (BAFIN-WPIG), 12.4 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
EEA Passporting
PSD2 SCA Exemption Audit — Supervisory Convergence Note: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of psd2 sca exemption audit focusing on supervisory convergence note. Covers statutory register tie-out (CYSEC-CIF), 15.8 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
Continental European Bourses
PSD2 SCA Exemption Audit — Retail Disclosure Benchmark: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of psd2 sca exemption audit focusing on retail disclosure benchmark. Covers statutory register tie-out (FINMA-FINIG), 8.0 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.