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Resources OANDA

Regulatory public disclosures

OANDA Corporation, 17 State Street, Suite 300 New York, NY 10004

Tel: 1-877-OANDA-FX (1-877-626-3239)

Fax: 1-877-264-2220

Email: frontdesk@oanda.com

Listed principals

The following individuals are Listed Principals of OANDA Corporation:

Gavin Bambury

Chief Executive Officer - OGC and OC

With more than 25 years of experience in the financial services industry, Gavin Bambury is the Chief Executive Officer of OANDA Global Corporation and OANDA Corporation (OC) and is a member of multiple OANDA affiliate boards. He is based in London. Since the start of his career, Gavin has worked in a variety of leadership roles at some of the world’s leading financial institutions including Citibank, Deutsche Bank, ION Trading and most recently Integral Development Corporation. A seasoned professional, he brings with him a deep-seated knowledge of financial technology and an unparalleled understanding of the trading sector. Gavin holds a BA in Engineering and Computer Science from the University of Oxford.

Sven Paloheimo

Head of Sales and Relationship Management

Sven has over 10 years' experience in the financial services sector. He joined OANDA in 2010, working his way up from the customer service team, running client retention efforts to now overseeing the sales and relationship management teams for OANDA Corporation and OANDA Canada. Sven has maintained laser focus on client needs and a passion for the markets. He has built upon an educational background in the humanities, including being an undergraduate from the University of Waterloo and graduate work at McGill University with series 3, 34, 30 licensing. Sven has passed his CMT level 3 and obtained CFTe certification.

Thomas Johnson

Chief Compliance Officer

Thomas is the designated Chief Compliance Officer for OANDA Corporation. He has over 16 years of financial services experience and previously worked in compliance, AML, and supervision roles at Interactive Brokers and TD Ameritrade. Thomas received his finance degree from Indiana University’s Kelley School of Business and his MBA from Northern Illinois University. He also received a Mechanics of Risk Management certificate from Middlesex University. Thomas currently holds Series 3 and 34 licenses and formerly held Series 4, 7, 9/10, 24, and 66 licenses.

Natesan Mayuranathan

Director, Risk and Assurance

Natesan has more than three decades of experience in risk management, internal audit, management accounting, technology systems design and implementation across a broad spectrum of organizations including manufacturing, aviation, governments and major financial service organizations in North America, the UK, Middle East and India. Prior to joining OANDA, Natesan was Head of Operational risk management at TMX Limited, operators of Toronto and Montreal Stock Exchanges where he served for more than 11 years. Natesan is a Certified Public Accountant, Certified Internal Auditor and Certified Information Systems Auditor.

Kevin Ryan

Director

Kevin joined OANDA in May 2012 as Global Controller. He has since taken on more responsibilities within the Finance function and was appointed Vice President of Finance in April 2016, CFO in March 2019, and currently serves as a Director of OANDA Corporation. Kevin has over 15 years of financial services experience. Prior to coming to OANDA, he was a manager at KPMG LLP in their financial services audit practice. Kevin is a Chartered Accountant and holds a Bachelor of Business Administration degree from Wilfrid Laurier University.

Claire Van Boxmeer

Chief Financial Officer

Claire Van Boxmeer has 15 years of financial services experience. She has been the Global Controller at OANDA since January 2020. Prior to joining OANDA, she was the Controller at a finance company, De Lage Landen Financial Services Canada Inc. for over 4 years, and was a Senior Manager at KPMG prior to that. Claire is a Chartered Accountant and holds an Honours Bachelor of Commerce from McMaster University.

Carin Sporrer

AML Compliance Officer

Carin is the designated AML Compliance Officer for OANDA Corporation. Carin has 9 years of financial services experience. Prior to joining OANDA, Carin worked in various roles at JP Morgan Chase, most recently managing the AML & Reputational Risk Escalation team for JP Morgan Advisors. She received her LL.M. in International Business & Trade Law as well as her J.D. from University of Illinois Chicago School of Law, and a B.A. from the University of Iowa.

Refer to the following link for more information about OANDA's global Corporate Governance.

Firm’s business

Activity/product line Percentage of assets Percentage of capital
Trading 96% 64%
Available financial resources 4% 36%

As of December 31, 2021 (updated annually or on material change)

Firm’s customer business

Types of customers: institutional, ECP and retail.

Markets and currencies traded: Foreign exchange currencies. Contracts for Difference, including index, bond and commodity-based CFDs and Precious Metals are not available for trading to residents of the United States.

International business: OANDA operates in eight regulated markets including:

OANDA Corporation – operating in US (regulated by CFTC/NFA),
OANDA Europe Limited – operating in the UK and Europe (regulated by the FCA),
OANDA Europe Markets Limited - operating in the European Union (regulated by the MFSA),
OANDA Asia Pacific Pte Ltd – operating in Singapore (regulated by the MAS),
OANDA (Canada) Corporation ULC – operating in Canada (regulated by IIROC),
OANDA Australia Pty Ltd – operating in Australia (regulated by ASIC),
OANDA Japan Inc – operating in Japan (regulated by FSA),
OANDA Global Markets Ltd - operating in the emerging markets (regulated by the FSC in the BVI).

Prime brokers and/or liquidity providers
Company Prime Brokerage (PB), Liquidity Provider (LP)
Citibank LP
Deutsche Bank PB, LP
UBS PB, LP
JP Morgan LP
Morgan Stanley LP
Citadel Securities LP
Jump Trading LP
XTX Markets LP
Credit Suisse LP
Commerzbank LP

As of May 31, 2022

As of Date Net Capital Adjusted Net Capital Excess Net Capital
03/31/2020 72,511,469 60,263,566 30,224,107
04/30/2020 84,382,238 68,300,740 38,119,865
05/31/2020 75,575,229 66,016,478 35,638,080
06/30/2020 87,630,429 68,429,181 36,002,111
07/31/2020 89,505,848 66,546,419 34,563,843
08/31/2020 87,116,885 66,431,029 34,664,559
09/30/2020 85,347,735 69,694,096 37,483,985
10/31/2020 75,084,720 68,296,674 35,875,596
11/30/2020 57,371,863 48,130,591 15,907,696
12/31/2020^ 56,112,228 46,079,901 12,682,267
01/31/2021^ 56,506,029 44,874,304 11,092,724
02/28/2021^ 55,920,605 46,482,740 12,814,355
03/31/2021 55,380,706 45,124,734 13,054,762
04/30/2021 56,617,835 44,655,522 12,789,725
05/31/2021 54,693,492 43,606,901 11,929,772
06/30/2021 54,290,772 44,768,855 12,723,542
07/31/2021 49,453,780 42,375,522 12,693,539
08/31/2021 50,356,469 41,422,139 11,649,289
09/30/2021 48,872,639 39,139,174 9,325,662
10/31/2021 45,723,182 37,946,913 8,408,606
11/30/2021 51,871,461 40,616,624 11,027,813
12/31/2021 50,112,343 39,870,203 10,671,699
01/31/2022 50,766,195 42,293,910 12,870,918
02/28/2022 50,012,171 38,876,025 9,224,284
03/31/2022 50,277,874 39,503,271 10,607,830
04/30/2022 48,462,852 40,724,311 12,208,488
05/31/2022 45,951,273 39,621,610 10,973,424
06/30/2022 48,169,620 39,710,658 11,474,548

^ The capital figures for these months were amended. The displayed figures represent the amended filings and not the original filings.

Customer liability
  • Trade Date Total Retail Liability Total Ecp Liability
    08/09/2022 $170,830,431.12 $5,098,881.85
    08/08/2022 $170,695,504.33 $5,159,682.35
    08/07/2022 $171,503,199.00 $5,150,804.01
    08/06/2022 $171,413,931.06 $5,150,804.01
    08/05/2022 $171,377,878.65 $5,170,613.73
    08/04/2022 $172,032,441.87 $5,181,591.61
    08/03/2022 $170,914,806.52 $5,256,076.45
    08/02/2022 $171,383,329.87 $5,287,151.74
    08/01/2022 $171,749,374.58 $5,327,655.34
  • Trade Date Total Retail Liability Total Ecp Liability
    07/31/2022 $170,312,503.98 $5,249,733.46
    07/30/2022 $170,188,906.07 $5,249,733.46
    07/29/2022 $170,272,525.10 $5,269,769.07
    07/28/2022 $169,710,725.55 $5,288,346.45
    07/27/2022 $168,350,845.85 $5,332,286.73
    07/26/2022 $168,302,419.36 $5,291,685.82
    07/25/2022 $168,770,292.08 $5,254,900.82
    07/24/2022 $168,961,869.58 $5,191,238.47
    07/23/2022 $168,916,060.15 $5,191,238.47
    07/22/2022 $168,934,741.01 $5,205,156.37
    07/21/2022 $167,531,570.53 $4,805,257.17
    07/20/2022 $166,361,274.79 $4,826,096.93
    07/19/2022 $166,677,160.21 $4,798,255.00
    07/18/2022 $167,311,106.79 $4,300,376.00
    07/17/2022 $166,404,220.97 $4,213,833.88
    07/16/2022 $166,370,308.95 $4,213,833.88
    07/15/2022 $166,346,064.05 $4,221,690.03
    07/14/2022 $165,783,271.07 $4,170,441.82
    07/13/2022 $167,024,109.38 $4,232,132.38
    07/12/2022 $167,022,322.82 $4,233,565.69
    07/11/2022 $166,152,398.91 $4,234,914.60
    07/10/2022 $168,599,935.48 $4,306,122.10
    07/09/2022 $168,491,006.29 $4,306,122.10
    07/08/2022 $168,689,977.22 $4,322,413.89
    07/07/2022 $168,521,015.89 $4,315,686.60
    07/06/2022 $168,416,980.95 $4,210,970.63
    07/05/2022 $168,857,899.83 $4,229,352.89
    07/04/2022 $169,550,606.47 $4,368,728.33
    07/03/2022 $169,844,471.73 $4,325,944.56
    07/02/2022 $169,801,246.02 $4,325,944.56
    07/01/2022 $170,036,003.34 $4,340,463.61
  • Trade Date Total Retail Liability Total Ecp Liability
    06/30/2022 $170,284,207.98 $4,409,515.95
    06/29/2022 $169,274,488.80 $4,374,963.58
    06/28/2022 $170,740,007.08 $4,443,700.45
    06/27/2022 $171,913,004.36 $4,488,671.07
    06/26/2022 $171,795,241.16 $4,487,390.24
    06/25/2022 $171,714,824.50 $4,487,390.24
    06/24/2022 $172,054,346.94 $4,502,651.37
    06/23/2022 $172,389,819.23 $4,472,338.57
    06/22/2022 $171,215,622.68 $4,503,349.85
    06/21/2022 $170,477,675.57 $4,507,569.20
    06/20/2022 $171,685,976.82 $4,464,692.12
    06/19/2022 $171,225,249.83 $4,413,590.31
    06/18/2022 $171,168,792.01 $4,413,590.31
    06/17/2022 $171,443,946.45 $4,428,752.18
    06/16/2022 $173,608,099.50 $4,586,452.36
    06/15/2022 $171,429,984.96 $4,431,474.39
    06/14/2022 $170,036,366.20 $4,189,176.53
    06/13/2022 $170,575,542.99 $4,383,089.38
    06/12/2022 $170,626,924.17 $4,474,188.70
    06/11/2022 $170,603,866.71 $4,474,188.70
    06/10/2022 $170,753,927.98 $4,482,391.94
    06/09/2022 $171,268,388.17 $4,598,991.94
    06/08/2022 $170,127,147.59 $4,619,614.23
    06/07/2022 $171,217,910.82 $4,640,916.22
    06/06/2022 $174,660,811.14 $4,585,564.12
    06/05/2022 $174,998,323.66 $4,523,512.46
    06/04/2022 $174,949,018.39 $4,521,012.46
    06/03/2022 $175,107,969.78 $4,539,328.27
    06/02/2022 $175,663,728.97 $4,580,114.05
    06/01/2022 $176,507,091.58 $4,555,045.55
  • Trade Date Total Retail Liability Total Ecp Liability
    05/31/2022 $178,271,108.49 $4,618,990.53
    05/30/2022 $179,541,929.88 $4,647,025.41
    05/29/2022 $180,586,201.49 $4,668,394.90
    05/28/2022 $180,573,027.29 $4,668,394.90
    05/27/2022 $180,747,264.32 $4,678,900.37
    05/26/2022 $181,307,994.21 $4,742,413.80
    05/25/2022 $180,888,590.11 $4,677,311.57
    05/24/2022 $180,760,671.46 $4,633,812.47
    05/23/2022 $179,421,851.32 $4,688,908.64
    05/22/2022 $179,009,990.03 $4,712,790.36
    05/21/2022 $178,962,706.54 $4,712,790.36
    05/20/2022 $179,568,520.26 $4,742,922.95
    05/19/2022 $179,510,509.88 $4,743,871.75
    05/18/2022 $178,379,356.23 $4,598,234.36
    05/17/2022 $177,169,579.45 $4,711,466.58
    05/16/2022 $176,218,970.53 $4,580,894.98
    05/15/2022 $175,796,200.53 $4,394,074.61
    05/14/2022 $175,732,687.82 $4,394,074.61
    05/13/2022 $175,752,332.75 $4,396,260.95
    05/12/2022 $176,426,325.28 $4,342,252.97
    05/11/2022 $176,689,250.37 $4,392,567.07
    05/10/2022 $176,367,086.79 $4,449,852.09
    05/09/2022 $175,981,992.50 $4,475,132.03
    05/08/2022 $174,433,019.36 $4,466,855.31
    05/07/2022 $174,214,206.42 $4,466,855.31
    05/06/2022 $174,400,988.45 $4,490,464.83
    05/05/2022 $174,730,016.65 $4,498,817.32
    05/04/2022 $175,524,503.09 $4,688,701.30
    05/03/2022 $174,389,607.51 $4,612,137.84
    05/02/2022 $173,871,589.88 $4,616,587.38
    05/01/2022 $175,190,096.56 $4,655,710.25
  • Trade Date Total Retail Liability Total Ecp Liability
    04/30/2022 $175,125,496.01 $4,655,710.25
    04/29/2022 $175,368,583.54 $4,677,927.28
    04/28/2022 $173,552,097.68 $4,623,605.06
    04/27/2022 $176,885,566.03 $4,615,656.37
    04/26/2022 $178,824,549.31 $4,642,399.48
    04/25/2022 $178,573,230.12 $4,767,178.38
    04/24/2022 $178,490,618.86 $4,844,306.02
    04/23/2022 $178,395,982.02 $4,844,306.02
    04/22/2022 $178,672,323.82 $4,849,030.82
    04/21/2022 $177,827,523.55 $4,963,605.89
    04/20/2022 $176,816,927.08 $4,951,888.58
    04/19/2022 $176,111,484.49 $4,918,096.80
    04/18/2022 $178,361,249.90 $4,908,065.13
    04/17/2022 $178,554,825.35 $4,917,029.76
    04/16/2022 $178,507,705.48 $4,917,029.76
    04/15/2022 $178,734,418.44 $4,927,867.29
    04/14/2022 $179,384,346.90 $4,945,980.17
    04/13/2022 $179,266,921.22 $4,950,928.86
    04/12/2022 $178,036,060.14 $4,830,380.98
    04/11/2022 $179,160,668.52 $4,877,793.16
    04/10/2022 $178,685,195.43 $4,855,821.69
    04/09/2022 $178,623,104.72 $4,855,821.69
    04/08/2022 $178,630,441.71 $4,862,916.87
    04/07/2022 $178,953,059.11 $4,879,505.18
    04/06/2022 $178,460,748.41 $4,888,506.20
    04/05/2022 $177,344,138.18 $4,887,253.31
    04/04/2022 $179,652,005.43 $4,902,340.44
    04/03/2022 $181,425,393.28 $4,960,491.19
    04/02/2022 $181,391,483.58 $4,960,491.19
    04/01/2022 $181,394,947.19 $4,971,667.29
  • Trade Date Total Retail Liability Total Ecp Liability
    03/31/2022 $182,804,100.85 $4,969,391.13
    03/30/2022 $180,765,683.19 $4,956,476.44
    03/29/2022 $179,718,826.28 $4,971,987.34
    03/28/2022 $177,952,259.70 $5,018,029.05
    03/27/2022 $178,826,639.32 $5,037,020.88
    03/26/2022 $178,751,095.23 $5,037,020.88
    03/25/2022 $178,734,211.76 $5,053,624.65
    03/24/2022 $179,215,573.70 $5,167,589.05
    03/23/2022 $180,928,519.80 $5,198,699.45
    03/22/2022 $182,344,943.91 $5,241,409.99
    03/21/2022 $186,734,173.78 $5,185,660.93
    03/20/2022 $186,974,129.57 $5,175,028.66
    03/19/2022 $186,916,852.10 $5,175,028.66
    03/18/2022 $186,979,002.20 $5,179,088.89
    03/17/2022 $189,030,965.80 $5,184,154.20
    03/16/2022 $190,554,858.89 $5,191,620.88
    03/15/2022 $191,234,185.79 $5,109,540.44
    03/14/2022 $190,981,814.44 $5,052,561.92
    03/13/2022 $190,101,375.55 $5,106,828.44
    03/12/2022 $190,024,258.00 $5,106,828.44
    03/11/2022 $190,310,754.16 $5,121,863.24
    03/10/2022 $191,616,277.60 $5,140,747.57
    03/09/2022 $192,636,198.18 $5,176,618.98
    03/08/2022 $192,510,935.30 $5,403,575.48
    03/07/2022 $190,615,617.48 $5,498,141.16
    03/06/2022 $190,436,947.11 $5,557,658.11
    03/05/2022 $190,304,670.89 $5,557,658.11
    03/04/2022 $190,532,313.89 $5,590,745.45
    03/03/2022 $195,138,551.60 $5,748,554.17
    03/02/2022 $194,889,324.41 $5,843,835.76
    03/01/2022 $196,519,531.83 $5,821,087.17
  • Trade Date Total Retail Liability Total Ecp Liability
    02/28/2022 $197,030,705.85 $5,919,618.43
    02/27/2022 $196,586,609.27 $5,911,723.44
    02/26/2022 $196,522,421.76 $5,911,723.44
    02/25/2022 $196,511,957.19 $5,921,545.73
    02/24/2022 $196,785,346.70 $5,789,412.19
    02/23/2022 $197,025,427.95 $5,955,108.74
    02/22/2022 $196,801,617.04 $5,933,519.99
    02/21/2022 $196,008,653.87 $5,867,938.37
    02/20/2022 $195,241,225.32 $5,765,100.31
    02/19/2022 $195,163,768.84 $5,765,100.31
    02/18/2022 $195,673,296.74 $5,801,898.19
    02/17/2022 $195,609,691.47 $5,898,064.40
    02/16/2022 $194,452,299.40 $5,901,556.80
    02/15/2022 $194,461,841.77 $5,835,346.32
    02/14/2022 $193,508,656.47 $5,812,658.06
    02/13/2022 $193,405,825.24 $5,788,621.58
    02/12/2022 $193,370,175.01 $5,788,621.58
    02/11/2022 $194,204,880.16 $5,803,219.32
    02/10/2022 $193,224,386.32 $5,788,802.86
    02/09/2022 $193,198,145.00 $5,773,180.51
    02/08/2022 $192,883,342.20 $5,774,842.61
    02/07/2022 $192,899,010.14 $6,000,988.96
    02/06/2022 $192,145,628.99 $5,908,476.87
    02/05/2022 $192,100,713.54 $5,908,476.87
    02/04/2022 $192,409,363.75 $5,932,943.57
    02/03/2022 $192,015,314.91 $6,008,224.52
    02/02/2022 $192,344,579.01 $6,000,986.80
    02/01/2022 $192,977,585.31 $5,968,322.46
  • Trade Date Total Retail Liability Total Ecp Liability
    01/31/2022 $192,386,615.70 $5,868,361.71
    01/30/2022 $190,524,545.11 $5,751,716.79
    01/29/2022 $190,435,620.66 $5,751,716.79
    01/28/2022 $191,000,569.86 $5,769,703.98
    01/27/2022 $191,447,523.04 $5,758,396.52
    01/26/2022 $193,963,112.66 $5,878,008.65
    01/25/2022 $193,714,864.03 $5,916,185.92
    01/24/2022 $193,519,548.34 $5,850,056.62
    01/23/2022 $192,302,851.74 $5,899,642.83
    01/22/2022 $192,258,149.42 $5,899,642.83
    01/21/2022 $192,443,176.20 $5,914,172.13
    01/20/2022 $191,028,373.18 $5,993,528.21
    01/19/2022 $190,516,622.07 $5,996,891.16
    01/18/2022 $189,989,237.37 $5,976,671.25
    01/17/2022 $190,341,199.76 $5,975,776.27
    01/16/2022 $190,407,145.01 $6,060,151.20
    01/15/2022 $190,141,526.97 $6,060,151.20
    01/14/2022 $190,508,121.89 $6,080,921.24
    01/13/2022 $189,591,542.00 $6,081,515.76
    01/12/2022 $188,779,394.03 $6,095,968.08
    01/11/2022 $189,962,598.75 $6,100,016.30
    01/10/2022 $191,051,778.41 $6,058,360.85
    01/09/2022 $189,416,102.50 $6,404,644.25
    01/08/2022 $189,377,855.86 $6,404,644.25
    01/07/2022 $189,489,556.94 $6,421,473.95
    01/06/2022 $189,566,101.20 $6,390,882.74
    01/05/2022 $187,069,848.50 $6,331,188.72
    01/04/2022 $185,585,035.97 $6,319,241.27
    01/03/2022 $187,868,647.64 $6,185,785.32
    01/02/2022 $186,655,723.16 $6,292,965.73
    01/01/2022 $186,585,121.68 $6,292,965.73
  • Trade Date Total Retail Liability Total Ecp Liability
    12/31/2021 $187,179,571.70 $6,308,169.74
    12/30/2021 $188,058,306.18 $6,267,202.98
    12/29/2021 $187,973,849.71 $6,232,751.68
    12/28/2021 $188,784,102.63 $6,212,035.45
    12/27/2021 $188,661,706.96 $6,218,985.71
    12/26/2021 $188,839,554.60 $6,140,143.73
    12/25/2021 $188,806,473.62 $6,140,143.73
    12/24/2021 $188,781,058.86 $6,148,076.09
    12/23/2021 $188,889,670.25 $6,185,510.60
    12/22/2021 $190,030,823.62 $6,160,912.64
    12/21/2021 $190,629,733.47 $5,739,108.17
    12/20/2021 $190,612,540.88 $5,694,634.54
    12/19/2021 $190,017,306.78 $5,788,534.12
    12/18/2021 $189,943,762.34 $5,788,534.12
    12/17/2021 $190,208,630.62 $5,810,672.63
    12/16/2021 $191,713,819.19 $5,928,640.17
    12/15/2021 $191,618,973.86 $5,812,139.15
    12/14/2021 $191,256,958.37 $5,816,049.23
    12/13/2021 $191,728,297.37 $5,788,531.86
    12/12/2021 $192,287,048.55 $5,911,569.41
    12/11/2021 $192,257,526.35 $5,911,569.41
    12/10/2021 $192,537,374.98 $5,942,277.05
    12/09/2021 $192,308,679.69 $5,906,351.60
    12/08/2021 $191,527,743.11 $5,925,692.66
    12/07/2021 $192,074,977.06 $5,962,744.89
    12/06/2021 $193,623,950.60 $5,917,105.50
    12/05/2021 $192,866,685.96 $5,740,664.52
    12/04/2021 $192,708,699.94 $5,741,611.53
    12/03/2021 $193,513,382.97 $5,780,564.19
    12/02/2021 $195,396,628.30 $5,550,562.16
    12/01/2021 $195,098,183.97 $5,491,718.77
  • Trade Date Total Retail Liability Total Ecp Liability
    11/30/2021 $195,692,260.42 $5,577,442.03
    11/29/2021 $192,694,866.08 $5,285,318.06
    11/28/2021 $191,607,120.90 $5,268,580.38
    11/27/2021 $191,546,653.12 $5,268,580.38
    11/26/2021 $191,924,314.39 $5,310,438.23
    11/25/2021 $191,316,436.36 $5,307,920.25
    11/24/2021 $191,090,697.52 $5,306,727.28
    11/23/2021 $192,415,685.61 $5,324,711.74
    11/22/2021 $193,248,103.59 $5,324,868.20
    11/21/2021 $194,457,140.42 $5,364,802.63
    11/20/2021 $194,305,872.96 $5,364,802.63
    11/19/2021 $195,300,041.18 $5,394,125.54
    11/18/2021 $197,740,341.04 $5,469,203.98
    11/17/2021 $196,573,789.59 $5,459,204.16
    11/16/2021 $195,352,477.75 $5,437,529.17
    11/15/2021 $194,179,561.76 $5,453,882.00
    11/14/2021 $195,855,511.16 $5,391,588.58
    11/13/2021 $195,740,090.73 $5,391,588.58
    11/12/2021 $196,182,761.01 $5,433,518.37
    11/11/2021 $197,814,420.57 $5,324,654.12
    11/10/2021 $199,118,734.06 $5,435,941.50
    11/09/2021 $198,630,164.26 $5,612,036.12
    11/08/2021 $197,980,644.85 $5,656,464.76
    11/07/2021 $197,544,544.94 $5,544,057.06
    11/06/2021 $197,499,949.83 $5,544,057.06
    11/05/2021 $197,731,335.51 $5,571,747.33
    11/04/2021 $197,483,937.03 $5,594,887.31
    11/03/2021 $195,532,330.82 $5,857,044.63
    11/02/2021 $196,270,020.47 $5,787,267.10
    11/01/2021 $194,322,514.94 $5,861,588.03
  • Trade Date Total Retail Liability Total Ecp Liability
    10/31/2021 $194,067,928.76 $5,856,443.65
    10/30/2021 $194,035,292.06 $5,856,443.65
    10/29/2021 $194,364,305.32 $5,898,706.23
    10/28/2021 $195,025,125.67 $6,027,423.25
    10/27/2021 $194,318,030.50 $6,030,142.95
    10/26/2021 $193,779,643.01 $6,033,953.39
    10/25/2021 $193,767,894.93 $6,047,656.95
    10/24/2021 $193,274,000.10 $6,025,688.81
    10/23/2021 $193,237,989.16 $6,025,688.81
    10/22/2021 $193,629,709.69 $6,056,571.33
    10/21/2021 $192,258,781.38 $6,034,886.84
    10/20/2021 $189,686,930.75 $6,020,133.78
    10/19/2021 $190,975,896.72 $6,030,906.07
    10/18/2021 $191,884,285.55 $6,035,080.55
    10/17/2021 $191,053,045.72 $6,007,822.59
    10/16/2021 $190,992,096.53 $6,007,822.59
    10/15/2021 $191,639,846.50 $6,040,477.73
    10/14/2021 $191,920,140.85 $6,201,759.82
    10/13/2021 $193,924,097.32 $6,561,735.77
    10/12/2021 $193,487,712.05 $6,403,042.99
    10/11/2021 $194,121,934.34 $6,495,778.68
    10/10/2021 $195,060,933.64 $7,128,411.93
    10/09/2021 $195,032,269.18 $7,128,411.93
    10/08/2021 $195,410,500.45 $7,175,421.83
    10/07/2021 $196,971,017.40 $7,549,837.54
    10/06/2021 $196,962,783.06 $7,717,835.79
    10/05/2021 $198,690,779.89 $7,780,722.01
    10/04/2021 $198,438,034.02 $8,036,497.80
    10/03/2021 $199,551,268.36 $7,809,591.83
    10/02/2021 $199,515,529.39 $7,809,591.83
    10/01/2021 $199,800,880.47 $7,879,892.77
  • Trade Date Total Retail Liability Total Ecp Liability
    09/30/2021 $198,645,868.30 $7,553,163.82
    09/29/2021 $198,181,799.98 $7,023,790.63
    09/28/2021 $199,955,054.14 $7,604,241.90
    09/27/2021 $199,219,604.02 $8,061,469.72
    09/26/2021 $198,853,749.40 $7,913,357.30
    09/25/2021 $198,860,486.59 $7,913,357.78
    09/24/2021 $199,270,392.95 $7,968,072.65
    09/23/2021 $198,755,529.08 $8,158,973.24
    09/22/2021 $197,859,552.65 $8,010,683.39
    09/21/2021 $197,998,446.30 $7,685,631.99
    09/20/2021 $197,124,278.97 $7,449,969.99
    09/19/2021 $197,318,608.05 $7,616,840.87
    09/18/2021 $197,339,351.20 $7,616,840.87
    09/17/2021 $197,910,838.26 $7,667,978.54
    09/16/2021 $197,517,063.17 $7,588,938.46
    09/15/2021 $196,470,214.40 $7,583,224.58
    09/14/2021 $196,805,017.79 $7,458,601.32
    09/13/2021 $195,955,527.52 $7,378,588.99
    09/12/2021 $195,144,494.31 $7,221,239.32
    09/11/2021 $195,142,542.18 $7,221,239.32
    09/10/2021 $195,517,986.64 $7,296,035.15
    09/09/2021 $195,345,490.15 $7,276,678.50
    09/08/2021 $195,009,242.54 $7,068,073.52
    09/07/2021 $194,554,143.92 $9,968,881.74
    09/06/2021 $192,596,173.88 $10,008,524.30
    09/05/2021 $192,113,051.09 $9,897,732.96
    09/04/2021 $192,104,806.07 $9,897,732.96
    09/03/2021 $192,500,750.25 $9,968,898.18
    09/02/2021 $193,114,894.77 $9,909,020.43
    09/01/2021 $195,348,910.61 $10,007,012.56
  • Trade Date Total Retail Liability Total Ecp Liability
    08/31/2021 $194,586,132.35 $9,955,084.48
    08/30/2021 $194,845,946.36 $10,064,434.66
    08/29/2021 $193,938,813.67 $9,969,536.72
    08/28/2021 $193,861,417.20 $9,969,536.72
    08/27/2021 $194,249,145.03 $10,058,300.45
    08/26/2021 $195,861,317.79 $9,878,450.26
    08/25/2021 $194,794,380.10 $9,971,311.18
    08/24/2021 $195,265,752.92 $10,003,878.25
    08/23/2021 $193,788,368.84 $9,804,113.96
    08/22/2021 $191,946,640.32 $9,367,909.81
    08/21/2021 $191,909,866.92 $9,367,909.81
    08/20/2021 $192,427,109.38 $9,428,193.64
    08/19/2021 $192,227,732.06 $9,517,137.90
    08/18/2021 $194,640,301.02 $10,011,158.01
    08/17/2021 $194,559,471.21 $10,107,133.94
    08/16/2021 $194,627,418.65 $10,149,322.73
    08/15/2021 $193,921,159.99 $10,314,019.54
    08/14/2021 $193,878,973.79 $10,314,019.54
    08/13/2021 $194,281,897.56 $10,343,409.59
    08/12/2021 $193,846,808.84 $10,272,743.87
    08/11/2021 $193,800,676.30 $10,332,019.96
    08/10/2021 $193,690,017.34 $10,230,235.43
    08/09/2021 $195,674,336.95 $8,700,705.68
Adjusted net capital, net capital and excess net capital
Disclosure required by CFTC Regulation 5.5(e)
Policies and procedures concerning the choice of bank depositories, custodians and counterparties

OANDA holds its operating and customer funds in accounts at top tier banks. When initially selecting a bank depository, a thorough review of the bank’s credit rating and financial statements is completed. Normally, OANDA only holds funds at banks with a credit rating of A or higher. OANDA periodically monitors the financial condition of the banks it has relations with for ongoing compliance with established criteria. Any deviation from the above is subject to review and approval by OANDA’s Risk Management Executive Committee

Material Risks associated with OANDA acting as a counterparty to Eligible Contract Participants (ECPs)

ECP credit risk arises when an ECP’s total deposited funds are insufficient to cover trading losses incurred. This situation may arise when there is a sudden and significant movement in the market relating to an instrument in which the client has an open position. OANDA controls the risks associated with ECP trading activities by requiring ECP’s to deposit cash collateral. OANDA does not allow ECPs to enter into trades if the ECP has not deposited a sufficient amount of collateral. In addition, the trading platform manages this risk by automatically closing out an ECP’s open positions when there is insufficient collateral on deposit. OANDA also has affiliated companies that act as regulated forex counterparties in foreign markets and OANDA is required to maintain a higher level of capital based on its relationships with those affiliates.

Material complaints or actions

OANDA is required to disclose any material administrative, civil, enforcement or criminal complaints or actions filed against OANDA where such complaints or actions have not concluded, and any enforcement complaints or actions filed against FCM during the last three years.

On April 1, 2021, the National Futures Association (“NFA”) issued a Decision accepting an Offer of Settlement (“Offer”) that OANDA had made to resolve a complaint that NFA had issued on March 8, 2021 (“Complaint”). The Complaint had alleged, inter alia, that OANDA: (1) in apparent violation of NFA Financial Requirements Section 13, had failed on various dates to submit certain daily forex reports accurately or timely; and (2) in apparent violation of NFA Compliance Rule 2-36(e), had failed: (i) to adopt and implement an adequate information systems security program; (ii) in three instances, to follow its procedures for handling and resolving customer complaints; and (iii) as a result of the foregoing, to diligently supervise its business and employees. Under the terms of the Offer, OANDA, without admitting or denying the allegations in the Complaint, consented to findings that it had violated NFA Financial Requirements Section 13 and NFA Compliance Rule 2-36 and agreed to pay a fine of $200,000.

On August 21, 2020, the Commodity Futures Trading Commission issued an order filing and settling charges (the “Order”) against OANDA Corporation (“OANDA”). The summary of the Order provides: "In or around October 2018 and during the period April 2019 to August 2019, the CFTC OANDA failed at times to meet certain financial requirements applicable to futures commission merchants (“FCMs”) offering or engaging in retail foreign currency transactions and/or retail foreign exchange dealers (“RFEDs”): (1) OANDA failed to meet minimum capital requirements from April 26, 2019 to August 21, 2019 and (2) OANDA made dividend payments on October 15, 2018, April 26, 2019, and May 28, 2019 in violation of the equity withdrawal restriction. In addition, OANDA violated certain reporting requirements related to its violations of these financial requirements. The Commission’s Division of Enforcement has found no indication that customers suffered any losses as a result of OANDA’s net capital and equity withdrawal restriction violations. OANDA did not maintain adequate internal controls with respect to these financial and reporting requirements; consequently, the firm failed to diligently supervise these matters related to its business as a Commission registrant. In accepting OANDA’s offer of settlement, the Commission recognizes OANDA’s cooperation in the investigation of this matter."

More information can be found through the NFA BASIC system at https://www.nfa.futures.org/basicnet/.

Q3 2021 Q4 2021 Q1 2022 Q2 2022
Total number of accounts 39,168 37,386 36,670 36,015
% profitable during the quarter 32.6% 30.3% 31.6% 30.4%
% not profitable during the quarter 67.4% 69.7% 68.4% 69.6%

Past performance is not necessarily indicative of future results.

Additional financial information on all FCMs is available from the CFTC.