Financial Regulatory Authorities

This page provides a list of financial regulatory authorities from around the world that are responsible for overseeing and regulating the financial markets. Their goal is to minimize violations and reduce risks for investors. These bodies have the power to enforce regulations, stop non-compliant companies, and impose fines. Investors can also turn to them to resolve financial disputes. The effectiveness of these authorities varies depending on the strength of the regulatory system in their respective countries. Some may not provide the level of oversight needed for brokers and financial companies, so it’s crucial to carefully consider the regulatory body overseeing any broker you plan to trade with.

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Country Regulator Name abbreviation
Spain Comisión Nacional del Mercado de Valores CNMV
Australia Australian Securities and Investment Commission ASIC
United Arab Emirates Dubai Multi Commodities Centre DMCC
United Arab Emirates Central Bank of the UAE CBTU
United Arab Emirates Dubai Financial Services Authority DFSAU
United Arab Emirates Dubai International Financial Centre DIFC
British Virgin Islands British Virgin Islands Financial Services Commision BVIFSC
Denmark Danish FSA DFSA
Sweden Swedish Financial Supervisory Authority FI
Kuwait Central Bank of Kuwait CBK
Kuwait Ministry of Commerce and Industry of Kuwait MOCI
United Kingdom Financial Conduct Authority FCA
Japan Financial Services Agency JFSA
Japan Japan Investor Protection Fund JIPF
Japan The Financial Futures Association of Japan FFAJ
Japan Japan Securities Dealers Association JSDA
Greece Hellenic Capital Markets Commission HCMC
Indonesia Badan Pengawas Perdagangan Berjangka Komoditi BAPPEBTI
Italy Commissione Nazionale per le Società e la Borsa CONSOB
United States Financial Industry Regulatory Authority, Inc. FINRA
United States New York Stock Exchange NYSE
United States Office of the Comptroller of the Currency OCC
United States Securities and Exchanges Commission SEC
United States Commodities and Futures Trading Commission CFTC
United States National Futures Association NFA
South Africa Financial Services Board FSB
Russia The Commission on Regulation of Financial Markets Participants Relationships KROUFR
Singapore Licensed clearing member of the Singapore Exchange SGX
Singapore Monetary Authority of Singapore MAS
Switzerland Groupement Suisse des Conseils en Gestion Indépendants GSCGI
Switzerland Association Romande des intermediares financiers ARIF
Switzerland Swiss Federal Department of Finance EFD
Switzerland Swiss Financial Market Supervisory Authority FINMA
France Autorité de Contrôle Prudentiel ACPR
France Banque de France CECEI
Cyprus Cyprus Stock Exchange Commission CYSEC
Canada British Columbia Securities Commission BCSC
Canada Ontario Securities Commission OSC
Canada Investment Industry Regulatory Organization of Canada IIROC
Lebanon The Central Bank of Lebanon CBL
Malta Malta Financial Services Authority MFSA
Mauritius Financial Services Commission FSC
New Zealand Financial Dispute Resolution FDR
New Zealand Financial Service Providers Register FSR
Netherlands The Netherlands Authority for the Financial Markets AFM
Hong Kong Securities and Futures Commission SFC
Jordan Jordan Securities Commission JSC
Seychelles Seychelles Financial Services Authority - FSA SFSA
Belize International Financial Services Commission Belize IFSC
Saint Vincent and The Grenadines Saint Vincent and the Grenadines SVGFSA
Vanuatu Vanuatu Financial Services Commission VFSC
Belarus The National Bank of the Republic of Belarus NBRB
United Arab Emirates Abu Dhabi Global Market ADGM
Ireland Central Bank of Ireland CBOI
Hong Kong Financial Commission TFC
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