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FXOpen Ledger

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: Global foreign exchange, CFD and currency-pair dealers outside regional registers

Regulators
182
Tier-1 prudential
30
With licence holders
2
Licence records
10

All supervisory authorities

Sorted by licence holders in our coverage • Click any authority for full statutory qualification dossier

RegulatorTierJurisdictionKey license classes & protectionEst.Licence holdersDossier & registers
CMBTier-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
198144 activeFull Dossier →Website ↗Register ↗
FSCATier-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
201844 activeFull Dossier →Website ↗Register ↗
AFATier-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
19890Full Dossier →Website ↗Register ↗
AFSATier-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
20180Full Dossier →Website ↗Register ↗
AFSATier-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
20060Full Dossier →Website ↗Register ↗
AFSCTier-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
20040Full Dossier →Website ↗Register ↗
ARDFMTier-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
20200Full Dossier →Website ↗Register ↗
ASCTier-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
19550Full Dossier →Website ↗Register ↗
ASFTier-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
20130Full Dossier →Website ↗Register ↗
ASICTier-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)
19980Full Dossier →Website ↗Register ↗
ATVPTier-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
19940Full Dossier →Website ↗Register ↗
BCSCTier-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
19960Full Dossier →Website ↗Register ↗
BESCTier-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
19930Full Dossier →Website ↗Register ↗
BMAOffshore
Cayman Islands / Bermuda / British Virgin Islands / Bahamas / Mauritius / Seychelles / Vanuatu
Offshore Financial Centre
Full Service / Market Maker Securities Dealer / VASP / Digital Asset Business (Class F / DARE)
Contractual Custody & Segregated Trust Accounts (No Statutory Retail Compensation Fund) • EUR €0 / USD $0 statutory government compensation scheme (protection relies on segregated client trust accounts, minimum paid-up capital/bonds, and Professional Indemnity Insurance)
19690Full Dossier →Website ↗Register ↗
BSETier-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
19970Full Dossier →Website ↗Register ↗
BVIFSCOffshore
Cayman Islands / Bermuda / British Virgin Islands / Bahamas / Mauritius / Seychelles / Vanuatu
Offshore Financial Centre
Full Service / Market Maker Securities Dealer / VASP / Digital Asset Business (Class F / DARE)
Contractual Custody & Segregated Trust Accounts (No Statutory Retail Compensation Fund) • EUR €0 / USD $0 statutory government compensation scheme (protection relies on segregated client trust accounts, minimum paid-up capital/bonds, and Professional Indemnity Insurance)
20020Full Dossier →Website ↗Register ↗
California Department of Financial Protection and InnovationTier-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
20200Full Dossier →Website ↗Register ↗
CFFEXTier-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
20060Full Dossier →Website ↗Register ↗
CFTCTier-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)
19740Full Dossier →Website ↗Register ↗
CGSETier-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
19100Full Dossier →Website ↗Register ↗
CIFOTier-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
20150Full Dossier →Website ↗Register ↗
CIMAOffshore
Cayman Islands / Bermuda / British Virgin Islands / Bahamas / Mauritius / Seychelles / Vanuatu
Offshore Financial Centre
Full Service / Market Maker Securities Dealer / VASP / Digital Asset Business (Class F / DARE)
Contractual Custody & Segregated Trust Accounts (No Statutory Retail Compensation Fund) • EUR €0 / USD $0 statutory government compensation scheme (protection relies on segregated client trust accounts, minimum paid-up capital/bonds, and Professional Indemnity Insurance)
19970Full Dossier →Website ↗Register ↗
CMATier-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)
20110Full Dossier →Website ↗Register ↗
CMATier-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)
20100Full Dossier →Website ↗Register ↗
CMA-KWTier-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
20100Full Dossier →Website ↗Register ↗
CMFTier-2
Chile
Latin America & Africa
Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager
National Investor Protection / Compensation Scheme (Chile) • Subject to statutory national investor protection fund limits and segregated trust priority
20170Full Dossier →Website ↗Register ↗
CMSATier-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
19950Full Dossier →Website ↗Register ↗
CMVMTier-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
19910Full Dossier →Website ↗Register ↗
CSATier-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
20030Full Dossier →Website ↗Register ↗
CSRCTier-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
19920Full Dossier →Website ↗Register ↗
CSSFTier-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
19980Full Dossier →Website ↗Register ↗
CVMTier-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
19760Full Dossier →Website ↗Register ↗
CVMTier-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
19760Full Dossier →Website ↗Register ↗
CyFOTier-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
20110Full Dossier →Website ↗Register ↗
CYSECTier-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)
20010Full Dossier →Website ↗Register ↗
Danish Financial Supervisory AuthorityTier-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
19880Full Dossier →Website ↗Register ↗
DFITier-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
19590Full Dossier →Website ↗Register ↗
DFSATier-1
["4"]
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)
20040Full Dossier →Website ↗Register ↗
DFSATier-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)
19880Full Dossier →Website ↗Register ↗
DIFCTier-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
20040Full Dossier →Website ↗Register ↗

Supervisory verification & licensing FAQ

How many financial regulators are tracked in FXOpen Ledger's coverage?

FXOpen Ledger tracks 182 supervisory authorities relevant to global foreign exchange, cfd and currency-pair dealers outside regional registers (30 Tier-1 prudential/G10 supervisors, 147 Tier-2 national supervisors, 0 Tier-3 regional/specialized authorities, and 5 offshore centres), of which 2 currently have licensed institutions on file in our dataset (10 total licence records) and 179 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

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.

Financial Regulators, National Licensing Qualifications & Public Registers | FXOpen Ledger