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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

30 matching regulators

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

RegulatorTierJurisdictionKey license classes & protectionEst.Licence holdersDossier & registers
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 ↗
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 ↗
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 ↗
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 ↗
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 ↗
ESMATier-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
20110Full Dossier →Website ↗Register ↗
FATFTier-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
19890Full Dossier →Website ↗Register ↗
FFAJTier-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
19890Full Dossier →Website ↗Register ↗
FINMATier-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)
20090Full Dossier →Website ↗Register ↗
FINRATier-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)
20070Full Dossier →Website ↗Register ↗
FSATier-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
19860Full Dossier →Website ↗Register ↗
FSATier-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
20000Full Dossier →Website ↗Register ↗
FSRATier-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)
20130Full Dossier →Website ↗Register ↗
FSRATier-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)
20140Full Dossier →Website ↗Register ↗
FSRATier-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)
20130Full Dossier →Website ↗Register ↗
IOSCOTier-1
Spain (Multilateral / Global)
European Economic Area & Switzerland
Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager
National Investor Protection / Compensation Scheme (Spain (Multilateral / Global)) • EUR €20,000 – USD $100,000+ equivalent per eligible retail investor
19830Full 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 ↗
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 ↗
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 →
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 ↗
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 ↗
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 ↗
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)
20060Full 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)
19340Full 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)
19870Full 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)
19800Full Dossier →Website ↗Register ↗
SFCTier-1
Hong Kong SAR
Asia-Pacific
Type 1 & Type 2 / Type 3
Investor Compensation Fund (ICF — Administered by Investor Compensation Company Limited) • HKD $500,000 per investor per default for securities or futures contracts traded on HKEX (and northbound Stock Connect)
19890Full 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