GAIN Capital Holdings Inc..
GCAP.US | Security and commodity contracts brokerage
GAIN Capital Holdings, Inc. is a global provider of online trading services. The company enables retail and institutional investors to trade a variety of instruments, including foreign exchange (forex), contracts for difference (CFDs), and exchange-traded securities. GAIN Capital provides access to ...Show More
Better Health for All
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No evidence was found in the provided articles to assess GCAP.US against the 'Better Health for All' ethical value. The articles primarily discuss employee benefits such as health insurance and mental health care, which are explicitly excluded from this value's scope as they pertain to workplace safety and worker rights.
Fair Money & Economic Opportunity
-20
The company has paid significant regulatory penalties and settlements for unfair or deceptive financial practices, totaling over $50 million.
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This includes a $55 million settlement for alleged breaches of fiduciary duty.
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Additionally, it was fined $700,000 by the National Futures Association (NFA) in December 2022 for compliance violations, such as improperly adjusting 17 customer accounts by approximately $2.84 million following a system malfunction in March-April 2021, and submitting inaccurate information.
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The company also incurred a $300,000 fine from the United States Commodity Futures Trading Commission (CFTC) for failing to diligently supervise customer accounts and having inadequate policies between February 2014 and August 2016.
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As a provider of online trading services, the company does not offer consumer credit products or debt products, and does not operate traditional financial service access points.
Fair Pay & Worker Respect
-10
The company's employee rating on Glassdoor is 2.7 out of 5 stars (equivalent to 54/100) based on 247 reviews, which is significantly below the financial services industry average of 3.7 stars.
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Only 38% of employees approve of the CEO, and 27% would recommend working at the company.
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Employee ratings for culture & values are 2.3 out of 5 stars.
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The company has been in compliance with all applicable employment and employment practices laws since August 31, 2011, and has not incurred any liability under the WARN Act or similar state/local laws.
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No regulatory actions, violations, or fines are mentioned in employee reviews or financial summaries.
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Furthermore, the company is not, and has not been, a party to any collective bargaining agreement or contract with a union, and no union represents or purports to represent any employee.
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No union or group of employees has sought to organize for collective bargaining.
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Fair Trade & Ethical Sourcing
-30
StoneX's subsidiaries (SML/SFL) reported no incidents of modern slavery, child labor, or human trafficking in their supply chain for the fiscal years ending September 2023, 2024, and 2025.
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The company is committed to preventing such abuses and has policies in place. For precious metals and physical commodity suppliers, ongoing annual reviews and checks are conducted.
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Independent auditors are engaged to verify compliance with standards such as the LBMA Responsible Silver Guidance.
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Honest & Fair Business
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The company has a whistleblower policy, last reviewed in January 2025, which includes multiple reporting mechanisms such as a WorkSmart Integrity HelpLine, prohibits retaliation, and outlines an investigation and tracking process by the Corporate Compliance Department.
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The policy is designed to comply with the Sarbanes–Oxley Act and the Dodd-Frank Act, and allows employees to communicate directly with the SEC or FINRA.
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Kind to Animals
-20
Gain Therapeutics, Inc. (GCAP.US) uses animal models for product testing, which means its products are not certified cruelty-free.
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No evidence is provided to suggest that the company's operations directly impact wildlife habitats, involve animal-derived inputs, source eggs, meat, or dairy, or engage in animal agriculture.
No War, No Weapons
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No evidence available to assess GAIN Capital Holdings Inc. on No War, No Weapons.
Planet-Friendly Business
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No evidence available to assess GAIN Capital Holdings Inc. on Planet-Friendly Business.
Respect for Cultures & Communities
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The provided articles do not contain any specific, concrete data points or information relevant to GAIN Capital Holdings, Inc. (GCAP.US) regarding the ethical value of 'Respect for Cultures & Communities'. The articles either discuss the ESG risk rating of a parent company (StoneX Group, Inc.) without specific GCAP.US data
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, or explicitly state that no relevant reports or quantitative data are available for GCAP.US concerning community engagement, cultural sensitivity, or related metrics
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Safe & Smart Tech
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No specific evidence regarding GCAP.US (GAIN Capital Holdings Inc.) or its parent company, StoneX Group, and their performance against the 'Safe & Smart Tech' ethical value is provided in the articles. The articles primarily discuss general cybersecurity trends, ransomware attacks on other companies, or recommendations for cybersecurity best practices, and explicitly state a lack of specific data for StoneX Group's practices.
Zero Waste & Sustainable Products
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No evidence was found in the provided articles regarding GAIN Capital Holdings, Inc.'s performance on any of the Zero Waste & Sustainable Products KPIs
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. The articles explicitly state a lack of quantitative data, sustainability reports, or any information related to waste management, product design, packaging, or related initiatives
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