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
| Regulator | Tier | Jurisdiction | Key license classes & protection | Est. | Licence holders | Dossier & registers |
|---|---|---|---|---|---|---|
| EFSA | 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 | 2009 | 0 | Full Dossier →Website ↗Register ↗ |
| EFSA | 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 ↗ |
| 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 ↗ |
| Estonian Financial Intelligence Unit | Tier-2 | Global Jurisdiction Asia-Pacific | VASP / DCE Registration / MSB / Currency Exchange Registration AML/CFT Registration Only (Non-Prudential / No Investor Compensation Scheme) • Not covered by statutory investor compensation (FIU/MSB registration supervises AML/CFT compliance rather than prudential solvency) | 1999 | 0 | Full Dossier →Website ↗Register ↗ |
| Estonian Financial Intelligence Unit (MTR register) | Tier-2 | Global Jurisdiction Asia-Pacific | VASP / DCE Registration / MSB / Currency Exchange Registration AML/CFT Registration Only (Non-Prudential / No Investor Compensation Scheme) • Not covered by statutory investor compensation (FIU/MSB registration supervises AML/CFT compliance rather than prudential solvency) | 1992 | 0 | Full Dossier →Website ↗Register ↗ |
| FA | 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 ↗ |
| FAIS Ombud | 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 ↗ |
| FATF | Tier-1 | France (Multilateral / OECD) European Economic Area & Switzerland | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (France (Multilateral / OECD)) • EUR €20,000 – USD $100,000+ equivalent per eligible retail investor | 1989 | 0 | Full Dossier →Website ↗Register ↗ |
| FCAA | 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 | 2012 | 0 | Full Dossier →Website ↗Register ↗ |
| FCNB | 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 ↗ |
| FDRC | 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 | 2012 | 0 | Full Dossier →Website ↗Register ↗ |
| FDRC | 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 | 2010 | 0 | Full Dossier →Website ↗Register ↗ |
| FDRS | 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 → |
| 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 ↗ |
| FI | 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 ↗ |
| FIDReC | 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 ↗ |
| FIN-FSA | 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 | 2009 | 0 | Full Dossier →Website ↗Register ↗ |
| FinaCom PLC Ltd. | 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 | 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 ↗ |
| Financial Consumer Agency of Canada | 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 | 2001 | 0 | Full Dossier →Website ↗Register ↗ |
| Financial Crime Investigation Service of Lithuania | 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 | 2000 | 0 | Full Dossier →Website ↗Register ↗ |
| Financial Crimes Enforcement Network (FinCEN) | Tier-2 | Global Jurisdiction Asia-Pacific | VASP / DCE Registration / MSB / Currency Exchange Registration AML/CFT Registration Only (Non-Prudential / No Investor Compensation Scheme) • Not covered by statutory investor compensation (FIU/MSB registration supervises AML/CFT compliance rather than prudential solvency) | 1990 | 0 | Full Dossier →Website ↗Register ↗ |
| Financial Crimes Investigation Board (Türkiye) | Tier-2 | Global Jurisdiction Asia-Pacific | VASP / DCE Registration / MSB / Currency Exchange Registration AML/CFT Registration Only (Non-Prudential / No Investor Compensation Scheme) • Not covered by statutory investor compensation (FIU/MSB registration supervises AML/CFT compliance rather than prudential solvency) | 1997 | 0 | Full Dossier →Website ↗Register ↗ |
| Financial Intelligence Unit – India | Tier-2 | Global Jurisdiction Asia-Pacific | VASP / DCE Registration / MSB / Currency Exchange Registration AML/CFT Registration Only (Non-Prudential / No Investor Compensation Scheme) • Not covered by statutory investor compensation (FIU/MSB registration supervises AML/CFT compliance rather than prudential solvency) | 2004 | 0 | Full Dossier →Website ↗Register ↗ |
| Financial Services Authority Seychelles | 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 Services Commission | 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 ↗ |
| Financial Services Commission | 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 | 2008 | 0 | Full Dossier →Website ↗Register ↗ |
| Financial Services Commission, Belize | 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 ↗ |
| Financial Services Commission, Mauritius | 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 | 2001 | 0 | Full Dossier →Website ↗Register ↗ |
| Financial Services Regulatory Authority, Abu Dhabi Global Market | 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 Services Unit, Dominica | 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 | 2008 | 0 | Full Dossier →Website ↗Register ↗ |
| Financial Supervision Commission | 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 ↗ |
| Financial Supervisory Authority of Iceland | 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 ↗ |
| Financial Supervisory Commission | 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 ↗ |
| Financial Supervisory Commission (Taiwan) | 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 ↗ |
| Financial Supervisory Service (Korea) | 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 ↗ |
| Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) | Tier-2 | Global Jurisdiction Asia-Pacific | VASP / DCE Registration / MSB / Currency Exchange Registration AML/CFT Registration Only (Non-Prudential / No Investor Compensation Scheme) • Not covered by statutory investor compensation (FIU/MSB registration supervises AML/CFT compliance rather than prudential solvency) | 2000 | 0 | Full Dossier →Website ↗Register ↗ |
| FINE | 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 ↗ |
| FinKN | 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 | 2010 | 0 | Full 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
An institutional audit of how non-bank OTC FX dealers and prime-of-prime aggregators intermediate Tier-1 credit lines across G10 and EM currency pairs.
Evaluating how multi-currency FX and CFD dealers dynamically switch between principal internalisation and straight-through agency hedging.
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.
