Regulator index & licensing matrix
Financial regulators, national licensing qualifications & public registers
Inspect the statutory mandates, license classes, minimum capital rules, investor compensation schemes, and official verification registers of the supervisory authorities in our coverage.
Coverage: Listed & OTC trading instruments, contract specifications, cross-venue symbology and margin schedules
- Regulators
- 83
- Tier-1 prudential
- 26
- With licence holders
- 0
- Licence records
- 0
All supervisory authorities
Sorted by licence holders in our coverage • Click any authority for full statutory qualification dossier
| Regulator | Tier | Jurisdiction | Key license classes & protection | Est. | Licence holders | Dossier & registers |
|---|---|---|---|---|---|---|
| AMF | Tier-1 | Germany (European Union) European Economic Area & Switzerland | WpIG Class 1 / 2 (§ 15 WpIG — Eigenhandel) / WpIG Medium / Small (§ 15 WpIG — Finanzkommission / Anlageverwaltung) Entschädigungseinrichtung der Wertpapierhandelsunternehmen (EdW) / Entschädigungseinrichtung deutscher Banken (EdB) • EUR €20,000 (90% of liabilities) for securities claims via EdW; EUR €100,000 per depositor for credit institutions via EdB | 2004 | 0 | Full Dossier →Website ↗Register ↗ |
| AMF | Tier-1 | Germany (European Union) European Economic Area & Switzerland | WpIG Class 1 / 2 (§ 15 WpIG — Eigenhandel) / WpIG Medium / Small (§ 15 WpIG — Finanzkommission / Anlageverwaltung) Entschädigungseinrichtung der Wertpapierhandelsunternehmen (EdW) / Entschädigungseinrichtung deutscher Banken (EdB) • EUR €20,000 (90% of liabilities) for securities claims via EdW; EUR €100,000 per depositor for credit institutions via EdB | 2003 | 0 | Full Dossier →Website ↗Register ↗ |
| AMMC | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 2016 | 0 | Full Dossier →Website ↗Register ↗ |
| ASC | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1955 | 0 | Full Dossier →Website ↗Register ↗ |
| ASIC | Tier-1 | Australia Asia-Pacific | AFSL — Retail OTC Derivatives Issuer (Market Maker) / AFSL — Responsible Entity (RE) / Custodian Financial Claims Scheme (FCS — APRA ADIs) & Compensation Scheme of Last Resort (CSLR) • AUD $250,000 per account holder per APRA-authorised bank (FCS); up to AUD $150,000 for unpaid AFCA determinations covered by the CSLR (personal advice, credit, securities brokerage) | 1998 | 0 | Full Dossier →Website ↗Register ↗ |
| ATVP | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1994 | 0 | Full Dossier →Website ↗Register ↗ |
| BaFin | Tier-1 | Germany (European Union) European Economic Area & Switzerland | WpIG Class 1 / 2 (§ 15 WpIG — Eigenhandel) / WpIG Medium / Small (§ 15 WpIG — Finanzkommission / Anlageverwaltung) Entschädigungseinrichtung der Wertpapierhandelsunternehmen (EdW) / Entschädigungseinrichtung deutscher Banken (EdB) • EUR €20,000 (90% of liabilities) for securities claims via EdW; EUR €100,000 per depositor for credit institutions via EdB | 2002 | 0 | Full Dossier →Website ↗Register ↗ |
| BAPPEBTI | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1999 | 0 | Full Dossier →Website ↗Register ↗ |
| BCSC | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1996 | 0 | Full Dossier →Website ↗Register ↗ |
| BESC | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1993 | 0 | Full Dossier →Website ↗Register ↗ |
| CFFEX | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 2006 | 0 | Full Dossier →Website ↗Register ↗ |
| CFTC | Tier-1 | United States North America | FCM / RFED / SD / MSP CEA Section 4d Statutory Customer Segregation & Bankruptcy Priority (17 CFR Part 190) • First-priority pro-rata statutory distribution of Segregated Customer Funds (no SIPC cash insurance; protected via strict LSOC / CEA 4d segregation) | 1974 | 0 | Full Dossier →Website ↗Register ↗ |
| CGSE | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1910 | 0 | Full Dossier →Website ↗Register ↗ |
| CIPF | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1969 | 0 | Full Dossier →Website ↗Register ↗ |
| CMA | Tier-1 | United Arab Emirates (DIFC / ADGM / Dubai) Middle East & GCC | Category 2 / Category 3A (DFSA / ADGM FSRA) / Category 3C / Category 4 (DFSA / ADGM FSRA) Statutory Client Money & Safe Custody Trust Protection (DFSA COB 6.12 / ADGM COBS 14 / VARA Custody Rulebook) • 100% bankruptcy-remote statutory trust segregation of client money and virtual assets (no pooled retail cash compensation fund; protected via strict base/expenditure capital & PII insurance) | 2004 | 0 | Full Dossier →Website ↗Register ↗ |
| CMA | Tier-1 | United Arab Emirates (DIFC / ADGM / Dubai) Middle East & GCC | Category 2 / Category 3A (DFSA / ADGM FSRA) / Category 3C / Category 4 (DFSA / ADGM FSRA) Statutory Client Money & Safe Custody Trust Protection (DFSA COB 6.12 / ADGM COBS 14 / VARA Custody Rulebook) • 100% bankruptcy-remote statutory trust segregation of client money and virtual assets (no pooled retail cash compensation fund; protected via strict base/expenditure capital & PII insurance) | 1999 | 0 | Full Dossier →Website ↗Register ↗ |
| CMA | Tier-1 | United Arab Emirates (DIFC / ADGM / Dubai) Middle East & GCC | Category 2 / Category 3A (DFSA / ADGM FSRA) / Category 3C / Category 4 (DFSA / ADGM FSRA) Statutory Client Money & Safe Custody Trust Protection (DFSA COB 6.12 / ADGM COBS 14 / VARA Custody Rulebook) • 100% bankruptcy-remote statutory trust segregation of client money and virtual assets (no pooled retail cash compensation fund; protected via strict base/expenditure capital & PII insurance) | 2011 | 0 | Full Dossier →Website ↗Register ↗ |
| CMA | Tier-1 | United Arab Emirates (DIFC / ADGM / Dubai) Middle East & GCC | Category 2 / Category 3A (DFSA / ADGM FSRA) / Category 3C / Category 4 (DFSA / ADGM FSRA) Statutory Client Money & Safe Custody Trust Protection (DFSA COB 6.12 / ADGM COBS 14 / VARA Custody Rulebook) • 100% bankruptcy-remote statutory trust segregation of client money and virtual assets (no pooled retail cash compensation fund; protected via strict base/expenditure capital & PII insurance) | 2010 | 0 | Full Dossier →Website ↗Register ↗ |
| CMA-KW | Tier-2 | Kuwait Middle East & GCC | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Kuwait) • Subject to statutory national investor protection fund limits and segregated trust priority | 2010 | 0 | Full Dossier →Website ↗Register ↗ |
| CMB | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1981 | 0 | Full Dossier →Website ↗Register ↗ |
| CMDA | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 2006 | 0 | Full Dossier →Website ↗Register ↗ |
| CMSA | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1995 | 0 | Full Dossier →Website ↗Register ↗ |
| CMVM | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1991 | 0 | Full Dossier →Website ↗Register ↗ |
| CSA | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 2003 | 0 | Full Dossier →Website ↗Register ↗ |
| CSRC | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1992 | 0 | Full Dossier →Website ↗Register ↗ |
| CVM | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1976 | 0 | Full Dossier →Website ↗Register ↗ |
| CVM | Tier-2 | Brazil Latin America & Africa | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Brazil) • Subject to statutory national investor protection fund limits and segregated trust priority | 1976 | 0 | Full Dossier →Website ↗Register ↗ |
| CYSEC | Tier-2 | Cyprus (European Union) European Economic Area & Switzerland | CIF — Full Scope / Market Maker (IFR €750k) / CIF — STP / Agency & Portfolio Manager (IFR €150k) Investor Compensation Fund (ICF) for Clients of CIFs • EUR €20,000 per retail client (or 90% of the cumulative covered claim, whichever is lower) | 2001 | 0 | Full Dossier →Website ↗Register ↗ |
| ESMA | Tier-1 | Germany (European Union) European Economic Area & Switzerland | WpIG Class 1 / 2 (§ 15 WpIG — Eigenhandel) / WpIG Medium / Small (§ 15 WpIG — Finanzkommission / Anlageverwaltung) Entschädigungseinrichtung der Wertpapierhandelsunternehmen (EdW) / Entschädigungseinrichtung deutscher Banken (EdB) • EUR €20,000 (90% of liabilities) for securities claims via EdW; EUR €100,000 per depositor for credit institutions via EdB | 2011 | 0 | Full Dossier →Website ↗Register ↗ |
| FFAJ | Tier-1 | Japan Asia-Pacific | FIEA Type I FIBO (第一種金融商品取引業) / FIEA Type II FIBO & Investment Management Japan Investor Protection Fund (JIPF) & Deposit Insurance Corporation of Japan (DICJ) • JPY ¥10,000,000 per retail client via JIPF (for Type I securities firms); JPY ¥10,000,000 + interest per depositor via DICJ for Japanese banks | 1989 | 0 | Full Dossier →Website ↗Register ↗ |
| Financial Conduct Authority | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 2013 | 0 | Full Dossier →Website ↗Register ↗ |
| Financial Conduct Authority (UK) | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 1997 | 0 | Full Dossier →Website ↗Register ↗ |
| FINMA | Tier-1 | ["0"] European Economic Area & Switzerland | BankA Art. 3 (Swiss Banking Licence) / FinIA Art. 41 (Securities Firm / Wertpapierhaus) esisuisse (Swiss Banks and Securities Firms Depositor Protection Association) • CHF 100,000 per client per bank or licensed securities firm (system-wide cap of CHF 6 billion backed by member liquidity) | 2009 | 0 | Full Dossier →Website ↗Register ↗ |
| FMA | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 2011 | 0 | Full Dossier →Website ↗Register ↗ |
| FMA | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 2002 | 0 | Full Dossier →Website ↗Register ↗ |
| FMA | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 2005 | 0 | Full Dossier →Website ↗Register ↗ |
| FSA | Tier-1 | Japan Asia-Pacific | FIEA Type I FIBO (第一種金融商品取引業) / FIEA Type II FIBO & Investment Management Japan Investor Protection Fund (JIPF) & Deposit Insurance Corporation of Japan (DICJ) • JPY ¥10,000,000 per retail client via JIPF (for Type I securities firms); JPY ¥10,000,000 + interest per depositor via DICJ for Japanese banks | 1986 | 0 | Full Dossier →Website ↗Register ↗ |
| FSA | Tier-1 | Japan Asia-Pacific | FIEA Type I FIBO (第一種金融商品取引業) / FIEA Type II FIBO & Investment Management Japan Investor Protection Fund (JIPF) & Deposit Insurance Corporation of Japan (DICJ) • JPY ¥10,000,000 per retail client via JIPF (for Type I securities firms); JPY ¥10,000,000 + interest per depositor via DICJ for Japanese banks | 2000 | 0 | Full Dossier →Website ↗Register ↗ |
| FSA-OM | Tier-2 | Oman Middle East & GCC | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Oman) • Subject to statutory national investor protection fund limits and segregated trust priority | 1998 | 0 | Full Dossier →Website ↗Register ↗ |
| FSB | Tier-2 | Global Jurisdiction Asia-Pacific | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Global Jurisdiction) • Subject to statutory national investor protection fund limits and segregated trust priority | 2004 | 0 | Full Dossier →Website ↗Register ↗ |
Supervisory verification & licensing FAQ
How many financial regulators are tracked in Instrument Ledger's coverage?
Instrument Ledger tracks 83 supervisory authorities relevant to listed & otc trading instruments, contract specifications, cross-venue symbology and margin schedules (26 Tier-1 prudential/G10 supervisors, 56 Tier-2 national supervisors, 0 Tier-3 regional/specialized authorities, and 1 offshore centres), of which 0 currently have licensed institutions on file in our dataset (0 total licence records) and 83 include a direct public register verification URL.
How should I verify a broker or institution on a regulator’s public register?
Click any regulator’s name or "Full Dossier →" to inspect its national licensing classes, minimum capital rules, and investor compensation limits, or use the "Register ↗" link to open its official public register. Search by the exact licence/reference number and confirm that the legal entity name, registered address, approved website domain, and permitted retail or institutional activities match the firm you are dealing with.
What is the difference between Tier-1, Tier-2, Tier-3, and Offshore supervisory regimes?
Tier-1 G10/prudential authorities (such as FCA, SEC/FINRA, CFTC/NFA, BaFin, FINMA, MAS, ASIC, JFSA, and SFC) enforce strict initial capital adequacy, daily client money segregation, and statutory investor compensation schemes. Tier-2 national supervisors maintain domestic conduct and prudential standards, while Offshore centres offer streamlined international business company licensing with lighter capital and no statutory compensation fund.
Related regulatory & compliance analysis
Contract Specifications
Global Instrument Specification Ledger: Standardizing Tick Size, Lot Multipliers, and Initial Margin Across 10,394 Contracts
How quantitative execution desks normalize symbol symbology, tick-value math, and maintenance margin tiers across 10,394 spot, futures, FX, and CFD contracts.
Derivatives Mechanics
Perpetual Swaps vs. Dated Quarterly Futures: Reconciling 8-Hour Funding Clamps with Cost-of-Carry Basis Convergence
Deriving the exact arbitrage boundary between continuous 8-hour perpetual funding transfers and discrete quarterly futures expiration convergence.
Regulator names, websites, statutory qualification summaries and register links come from our structured regulatory knowledge base and imported dataset. Always verify primary licence standing directly on the supervisor’s official public register.