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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
JFSCTier-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
19980Full Dossier →Website ↗Register ↗
JSCTier-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 ↗
JVCEATier-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
20180Full Dossier →Website ↗Register ↗
KNFTier-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)
20060Full Dossier →Website ↗Register ↗
KoFIUTier-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)
—0Full Dossier →
Labuan FSATier-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 ↗
Lao Securities CommissionTier-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
20090Full Dossier →Website ↗Register ↗
MASTier-1
Singapore
Asia-Pacific
CMS Licence — Dealing in Capital Markets Products / CMS Licence — Fund Management (LFMC / RFMC)
Singapore Deposit Insurance Corporation (SDIC) / SGX Fidelity Fund • SGD $100,000 per depositor per Scheme member bank/finance company (increased from SGD $75,000 in April 2024); SGX Fidelity Fund covers defalcation by SGX member brokers
19710Full Dossier →Website ↗Register ↗
MFSATier-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)
20020Full Dossier →Website ↗Register ↗
MMATier-2
Global Jurisdiction
Asia-Pacific
Class A / Commercial Banking Charter / EMI / Payment & FX Institution Licence
Statutory Deposit Insurance & Bank Resolution Scheme (Global Jurisdiction) • Protected up to statutory national deposit insurance ceiling per banking depositor
19810Full Dossier →Website ↗Register ↗
Monetary Authority of MacaoTier-2
Global Jurisdiction
Asia-Pacific
Class A / Commercial Banking Charter / EMI / Payment & FX Institution Licence
Statutory Deposit Insurance & Bank Resolution Scheme (Global Jurisdiction) • Protected up to statutory national deposit insurance ceiling per banking depositor
19890Full Dossier →Website ↗Register ↗
MSCTier-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
19680Full Dossier →Website ↗Register ↗
NBFIRATier-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
20080Full Dossier →Website ↗Register ↗
NCFMTier-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
19980Full Dossier →Website ↗Register ↗
New York State Department of Financial ServicesTier-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 ↗
NFRATier-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 ↗
NSSCTier-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 ↗
NSSMCTier-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 ↗
NYSDFSTier-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 ↗
OBCTier-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
19870Full Dossier →Website ↗Register ↗
OCIFTier-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
19850Full Dossier →Website ↗Register ↗
Office of the Superintendent of Financial Institutions (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
19870Full Dossier →Website ↗Register ↗
Office of the Superintendent of Financial Institutions (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
19870Full Dossier →Website ↗Register ↗
OFSTier-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 ↗
OmbudsfinTier-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 ↗
OSCTier-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
19320Full Dossier →Website ↗Register ↗
OSSTier-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
20080Full Dossier →Website ↗Register ↗
OSS‑NLTier-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
19900Full Dossier →Website ↗Register ↗
Polish Financial Supervision Authority (KNF)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
20060Full Dossier →Register ↗
QFCRATier-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)
—0Full Dossier →
QFMATier-2
Qatar
Middle East & GCC
Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager
National Investor Protection / Compensation Scheme (Qatar) • Subject to statutory national investor protection fund limits and segregated trust priority
20050Full Dossier →Website ↗Register ↗
RKCFTier-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 ↗
SAFETier-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
19790Full Dossier →Website ↗Register ↗
SCTier-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 ↗
SCATier-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)
20000Full Dossier →Website ↗Register ↗
SCBOffshore
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)
19950Full Dossier →Website ↗Register ↗
SCMNTier-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
20000Full Dossier →Website ↗Register ↗
SEBITier-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 ↗
SECTier-1
United States
North America
Form BD (Clearing BD) / Form BD (Introducing BD)
Securities Investor Protection Corporation (SIPC) • USD $500,000 per customer capacity (including up to USD $250,000 for cash claims)
20160Full Dossier →Website ↗Register ↗
SECTier-1
United States
North America
Form BD (Clearing BD) / Form BD (Introducing BD)
Securities Investor Protection Corporation (SIPC) • USD $500,000 per customer capacity (including up to USD $250,000 for cash claims)
19920Full 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