XML 48 R36.htm IDEA: XBRL DOCUMENT v3.8.0.1
Capital and Other Regulatory Requirements (Tables)
3 Months Ended
Dec. 31, 2017
Capital and Other Regulatory Requirements [Abstract]  
Regulatory Capital Requirements under Banking Regulations [Text Block]
Capital and Other Regulatory Requirements
The Company’s activities are subject to significant governmental regulation, both in the United States and overseas. The subsidiaries of the Company were in compliance with all of their regulatory requirements as of December 31, 2017, as follows:
(in millions)
 
 
 
 
 
As of December 31, 2017
Subsidiary
Regulatory Authority
Jurisdiction
 
Requirement Type
 
Actual
 
Minimum
Requirement
INTL FCStone Financial Inc.
SEC and Commodity Futures Trading Commission ("CFTC")
United States
 
Net capital
 
$
136.1

 
$
74.2

INTL FCStone Financial Inc.
CFTC
United States
 
Segregated funds
 
$
2,256.9

 
$
2,204.4

INTL FCStone Financial Inc.
CFTC
United States
 
Secured funds
 
$
164.4

 
$
147.8

INTL FCStone Financial Inc.
SEC
United States
 
Customer reserve
 
$
12.0

 
$

INTL FCStone Financial Inc.
SEC
United States
 
PAB reserve
 
$
10.7

 
$
10.2

INTL Custody & Clearing Soluntions Inc.
SEC
United States
 
Net capital
 
$
1.7

 
$
0.1

SA Stone Wealth Management Inc.
SEC
United States
 
Net capital
 
$
4.2

 
$
0.3

INTL FCStone Ltd(1)
Financial Conduct Authority ("FCA")
United Kingdom
 
Net capital
 
$
191.8

 
$
90.2

INTL FCStone Ltd
FCA
United Kingdom
 
Segregated funds
 
$
113.8

 
$
113.8

INTL Netherlands BV(1)
FCA
United Kingdom
 
Net capital
 
$
191.1

 
$
90.2

INTL FCStone DTVM Ltda.
Brazilian Central Bank and Securities and Exchange Commission of Brazil
Brazil
 
Capital adequacy
 
$
12.6

 
$
0.5

INTL Gainvest S.A.
National Securities Commission ("CNV")
Argentina
 
Capital adequacy
 
$
4.5

 
$
0.2

INTL Gainvest S.A.
CNV
Argentina
 
Net capital
 
$
3.0

 
$
0.1

INTL CIBSA S.A.
CNV
Argentina
 
Capital adequacy
 
$
5.0

 
$
0.9

INTL CIBSA S.A.
CNV
Argentina
 
Net capital
 
$
1.7

 
$
0.5

(1) INTL Netherlands BV is a holding company that includes the ownership equity of INTL FCStone Ltd. The associated net capital amounts and minimum requirements should not be considered in aggregate.
Certain other non-U.S. subsidiaries of the Company are also subject to capital adequacy requirements promulgated by authorities of the countries in which they operate. As of December 31, 2017, these subsidiaries were in compliance with their local capital adequacy requirements.