Global Financial Regulators
Covers information from 54 global financial regulatory authorities, including regulatory licenses, disclosures, and watchlists, helping investors understand the compliance status and risk profile of financial institutions.
NATIONWIDE MULTISTATE LICENSING SYSTEM （NMLS）
NMLS® Consumer Access℠ is a free public service powered by the Nationwide Multistate Licensing System / Nationwide Mortgage Licensing System and Registry (NMLS). It enables consumers to verify whether mortgage, consumer finance, debt relief and money services firms, branches and individual practitioners hold valid state operating licenses. All users must comply with the platform’s Terms of Use Agreement
Financial Crimes Enforcement Network （FinCEN）
FinCEN is a bureau of the U.S. Department of the Treasury. The Director of FinCEN is appointed by the Secretary of the Treasury and reports to the Treasury Under Secretary for Terrorism and Financial Intelligence. FinCEN’s mission is to safeguard the financial system from illicit use and combat money laundering and promote national security through the collection, analysis, and dissemination of financial intelligence and strategic use of financial authorities.
Canadian Securities Administrators （CSA）
The CSA brings provincial and territorial securities regulators together to share ideas and work at designing policies and regulations that are consistent across the country and ensure the smooth operation of Canada’s securities industry. By collaborating on rules, regulations and other programs, the CSA helps avoid duplication of work and streamlines the regulatory process for companies seeking to raise investment capital and others working in the investment industry.
Financial Transactions and Reports Analysis Centre of Canada （FINTRAC）
The Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)，founded in 2000, is Canada’s financial intelligence unit (FIU)， with its headquater located in Ottawa. FINTRAC is established by, and operates within the ambit of, the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its Regulations. The Centre is mainly responsible for the detection, prevention and deterrence of money laundering and the financing of terrorist activities financing and other threats to the security of Canada.
Monetary Authority of Singapore （MAS）
MAS is the integrated regulator and supervisor of financial institutions in Singapore. In 1970, Parliament passed the Monetary Authority of Singapore Act leading to the formation of MAS on 1 January 1971. The passing of the MAS Act gave MAS the authority to regulate the financial services sector in Singapore.MAS has been given powers to act as a banker to and financial agent of the Government. It has also been entrusted to promote monetary stability, and make credit and exchange policies conducive to the growth of the economy. In April 1977, the Government decided to bring the regulation of the insurance industry under MAS. The regulatory functions under the Securities Industry Act (1973) were also transferred to MAS in September 1984.MAS now administers the various statutes pertaining to money, banking, insurance, securities and the financial sector. Following its merger with the Board of Commissioners of Currency on 1 October 2002, MAS also assumed the function of currency issuance.
Securities and Futures Commission of Hong Kong （SFC）
The Securities and Futures Commission (SFC) is an independent statutory body set up in 1989 to regulate Hong Kong's securities and futures markets. The SFC derives its investigative, remedial and disciplinary powers from the Securities and Futures Ordinance (SFO) and subsidiary legislation. Operationally independent of the Government of the Hong Kong Special Administrative Region, the SFC is funded mainly by transaction levies and licensing fees. As a financial regulator in an international financial centre, the SFC strives to strengthen and protect the integrity and soundness of Hong Kong's securities and futures markets for the benefit of investors and the industry.
Financial Services Agency （FSA）
The Financial Services Agency (FSA) oversees all financial services providers, including Forex brokers, in Japan. The ultimate aim of Japan's FSA is to maintain the country’s financial system and ensure its stability. It is also responsible for protecting security investors, insurance policyholders, and depositors. It achieves its aims in a number of different ways including planning and policy making, supervising financial services providers, overseeing securities transactions, and inspecting financial institutions in the private sector. When the FSA was first created it was merely an administrative body. However, its responsibilities were widened in 2001 when it became the external representative of the Cabinet Office of Japan. It took over the responsibilities of the Financial Reconstruction Committee, and also took over responsibility for failed financial institutions.Today, the FSA Japan is held accountable to the Japanese Minister of Finance and enjoys a wide scope of responsibility.
Financial Conduct Authority （FCA）
The Financial Conduct Authority (FCA) is a financial regulatory body in the United Kingdom, but operates independently of the UK Government, and is financed by charging fees to members of the financial services industry. On 19 December 2012, the Financial Services Act 2012 received royal assent, and it came into force on 1 April 2013. The Act created a new regulatory framework for financial services and abolished the Financial Services Authority. The FCA regulates financial firms providing services to consumers and maintains the integrity of the financial markets in the United Kingdom. It focuses on the regulation of conduct by both retail and wholesale financial services firms.
Federal Financial Supervisory Authority （BaFin）
Prior to 2002, in Germany the regulation of the financial industry was undertaken by three separate agencies. In May 2002 BaFin was formed, following the passing of the Financial Services and Integration Act. The aim of the Act and the merging of the three agencies was to create one integrated financial regulator that would be able to cover all financial markets. The agencies that merged together were the Federal Banking Supervisory Office, the Federal Supervisory Office for Securities Trading, and the Federal Insurance Supervisory Office.BaFin was given further responsibility following the passing of the Banking Act in 2003 with the aim of increasing customer protection and improving the reputation of the German financial system. The extra powers included monitoring the credit-worthiness of financial institutions and collecting detailed information about them. This particular area of responsibility was shared with the Bundesbank. Currently, BaFin is experiencing a kind of transition, as the responsibility for banking supervision is being taken over by the European Central Bank.
Dubai Virtual Assets Regulatory Authority （VARA）
The Dubai Virtual Assets Regulatory Authority (VARA) is a specialized regulatory authority for virtual assets established in the Emirate of Dubai, United Arab Emirates. It was founded in 2022 under the Dubai Virtual Assets Law and operates within the regulatory framework under the Dubai World Trade Centre Authority system.
Abu Dhabi Global Market （ADGM）
ADGM’s Financial Services Regulatory Authority was established to advocate a progressive financial services environment and uphold the integrity of the whole international financial centre by managing any potential risks exposure and undesirable impact.FSRA's policies and the adherence to ADGM's rules and regulations, which are modelled on and consistent with internationally recognised standards, ensure that financial entities operate with certainty, market participants thrive in an equal level-playing environment, and the best interests of investors are safeguarded.Offering the highest level of regulatory transparency and engagement, the FSRA practices an open and progressive approach in its regulatory operations, through public consultations, engagements on introduction and amendments of rules and policies.
The Autorité des Marchés Financiers （AMF）
The Autorité des Marchés Financiers (AMF) regulates the French financial market place, its participants and the investment products distributed via the markets. It also ensures that investors are properly informed and and is a driving force behind regulatory change at both European and international levels. AMF is required to regulate, authorise, monitor and where necessary, inspect, investigate and enforce them. Make sure to contribute to financial and international regulation. It also ensures that investors are properly informed, and provide them with assistance Via our financial ombudsman when it is necessary, . As an independent public authority, AMF has regulatory powers and a substantial level of financial and managerial independence.
Dubai Financial Services Authority （DFSA）
The Dubai Funancial Service Authority (DFSA) isthe indepentent regulator of financial services conducted in or from the DIFC, a purpose-built financial free zone in Dubai, UAE.The DFSA’s regulatory mandate includes asset management, banking and credit services, securities, collective investment funds, custody and trust services, commodities futures trading, Islamic finance, insurance, an international equities exchange, and an international commodities derivatives exchange. In addition to regulating financial and ancillary services, the DFSA is responsible for supervising and enforcing anti-money laundering (AML) and counter-terrorist financing (CTF) requirements applicable in the DIFC. The DFSA has also accepted a delegation of powers from the DIFC Registrar of Companies (RoC) to investigate the affairs of DIFC companies and partnerships where a material breach of DIFC Companies Law is suspected and to pursue enforcement remedies available to the Registrar.
Australian Transaction Reports and Analysis Centre （AUSTRAC）
We're the Australian Transaction Reports and Analysis Centre (AUSTRAC) and we act as both a regulator and financial intelligence unit to keep Australia safe. We’re Australia’s anti-money laundering and counter-terrorism financing (AML/CTF) regulator and financial intelligence unit. This dual role helps us to use financial intelligence and regulation to detect, deter and disrupt: money laundering, terrorism financing, proliferation financing and serious and organised crime.
Malta Financial Services Authority （MFSA）
The Malta Financial Services Authority (MFSA) is the single regulator of financial services in Malta established on 23 July 2002 through the Act of Parliament (Chapter 330 of the Laws of Malta). MFSA’s main functions are the protection of consumers, integrity of financial markets, financial stability and the supervision of all financial services activities，which include banking, financial institutions, payment institutions, insurance companies and insurance intermediaries, investment services companies and collective investment schemes, securities markets, recognised investment exchanges, trust management companies, company services providers and pension schemes. MFSA also holds an advisory role to Government in the formulation of policies on matters relating to the financial services industry.
Central Bank of Ireland （CBI）
Prior to 2010, all Irish financial entities were regulated by the Irish Financial Services Regulatory Authority. However, in 2011, a new regulatory body was established known as the Central Bank of Ireland Commission. This Commission has the task of issuing licences to CBI-regulated brokers, but also has a number of other very important roles. It acts as a watchdog for the following service providers and their activities: Insurance providers, including general and life insurance as well as any consumer-related issues; Credit unions; Credit and mortgage providers and moneylenders, as well as overseeing customer charges and related consumer issues.
Dutch Authority for the Financial Markets （AFM）
The Dutch Authority for the Financial Markets (AFM) has been responsible for supervising the operation of the financial markets since 1 March 2002.
Commission de Surveillance du Secteur Financier （CSSF）
The Commission de Surveillance du Secteur Financier (CSSF) performs its duties of prudential supervision and supervision of the markets for the purposes of ensuring the safety and soundness of the financial sector, solely in the public interest. Within the limits of its remit, it ensures that the authorised entities and the issuers are complying with the regulations applicable to them, including those aiming to ensure the protection of the financial consumers and the prevention of the use of the financial sector for the purposes of money laundering or terrorist financing. The CSSF represents Luxembourg in the area of European and international supervision.
Korea Financial Intelligence Unit （FIU）
Founded in 2001, KoFIU is tasked with the goal of preventing money laundering activity and illegal cross-border currency transfer, both of which conducted by abusing financial institutions.
Central Bank of Bahrain （CBB）
The Central Bank of Bahrain (CBB) is the official authority responsible for monetary policy and financial regulation in the Kingdom of Bahrain. It was established in 2006 through the merger of the former Bahrain Monetary Agency and the banking regulatory authority, and is founded under national laws governing central banking and financial institutions.
Cyprus Securities and Exchange Commission （CYSEC）
The Cyprus Securities and Exchange Commission (CySEC) was established in accordance with section 5 of the Securities and Exchange Commission (Establishment and Responsibilities) Law of 2001 as a public legal entity. It is an independent public supervisory Authority responsible for the supervision of the investment services market, transactions in transferable securities carried out in the Republic of Cyprus and the collective investment and asset management sector. It also supervises the firms offering administrative services which do not fall under the supervision of ICPAC and the Cyprus Bar Association.
Financial Market Authority Liechtenstein （FMA）
The Financial Market Authority (FMA) Liechtenstein is an autonomous establishment under public law with its own legal personality. The authority is independent in the performance of its activities and is not bound by instructions. The organization, responsibilities and powers of the FMA are governed by the Financial Market Authority Act (FMA Act).
Austrian Financial Market Authority （FMA）
As an integrated supervisory authority established in 2002, the Austrian Financial Market Authority brings together the supervision of all significant providers and functions under a single roof.
Bank of Spain （BDE）
Bank of Spain (Banco de España): The central bank of Spain, established by King Charles III in 1782 and headquartered in Madrid. It is a member of the European System of Central Banks (ESCB) and is responsible for implementing monetary policy and serving as Spain’s highest financial regulatory authority.
Bank of Lithuania （LB）
The Bank of Lithuania is the central bank of the Republic of Lithuania. The Bank of Lithuania is a member of the European System of Central Banks. The Bank of Lithuania performs these primary functions: maintaining price stability, formulating and implementing the monetary policy, acting as an agent of the State Treasury. As part of the Eurosystem, it cooperates with the European Central Bank and other euro area central banks to make decisions on euro area monetary policy and its implementation.
Czech national bank （CNB）
The Czech National Bank (CNB) is the central bank and financial market supervisor in the Czech Republic with its headquarters in Prague, and a member of the European System of Central Banks. The CNB sets monetary policy, issues banknotes and coins and manages the circulation of the Czech koruna, the payment system and settlement between banks. It also performs supervision of the banking sector, the capital market, the insurance industry, pension funds, credit unions and electronic money institutions, as well as foreign exchange supervision.
Polish Financial Supervision Authority （KNF）
The Polish Financial Supervision Authority commenced its activities on September 19th 2006, i.e. the date when the Act on Financial Market Supervision of July 21st 2006 (Dz. U. of 2006, No. 157, item 1119, as amended) came into force. The new regulator took over the duties of the Insurance and Pension Funds Supervision Commission and the Polish Securities and Exchange Commission, which were abolished by the said Act. As of January 1st 2008, the PFSA took over the duties of the Commission for Banking Supervision. The main task of PFSA is to ensure the orderly functioning and safe development of the financial market. Meanwhile, the vision is to provide a safe financial market for all participants. In regard to this, PFSA have taken active action, such as using the most modern technologies to manage information and knowledge as well as provide a high level of trust among supervised entities and stakeholders in the financial market.
Danish Financial Supervisory Authority （FSA）
The primary task of the Danish FSA is supervision of financial undertakings – banks, mortgage-credit institutions, pension and insurance companies, etc.
Finansinspektionen （FI）
FI is a government authority tasked with monitoring the financial market. We promote a stable financial system that contributes to sustainable development and a high level of consumer protection. We publish rules for financial firms and monitor compliance with these rules. We also analyse risks that could lead to instability in the financial system.
Finanssivalvonta （FIN-FSA）
Finanssivalvonta, or the Financial Supervisory Authority (FIN-FSA), is the authority for supervision of Finland’s financial and insurance sectors. The entities supervised by the authority include banks, insurance and pension companies as well as other companies operating in the insurance sector, investment firms, fund management companies and the Helsinki Stock Exchange.
The Financial Supervisory Authority of Norway （Finanstilsynet）
Finanstilsynet is an independent government agency that builds on laws and decisions emanating from the Storting (Norwegian parliament), the government and the Ministry of Finance. Finanstilsynet also participates in extensive international cooperation. Through the EEA Agreement, EU financial market regulation is implemented in Norwegian law.
The Financial Supervision Authority （FSA）
The Financial Supervision Authority, which was launched on 1 January 2002, joined the functions of Eesti Pank's Banking Supervision Authority and the Ministry of Finance's Insurance Supervision Authority and Securities Inspectorate. It is a financial supervision and crisis resolution authority with autonomous responsibilities and budget that works on behalf of the state of Estonia and is independent in its decision-making.
MajandusTegevuse Register （MTR）
The Ministry of Economic Affairs and Communications of the Republic of Estonia supervises the activities of financial companies as well as firms indulging in the Estonian capital markets. MTR regulated brokers are regulated according to the derivatives set forward by the Ministry as well the MiFID, which enables the country to offer Forex trading access to its consumers according to the regulatory standards implemented by the EU.
Financial Sector Conduct Authority （FSCA）
The Financial Sector Conduct Authority (FSCA) is the market conduct regulator of financial institutions, that provide financial products and financial services, financial institutions that are licensed in terms of a financial sector law, including banks, insurers, retirement funds and administrators, and market infrastructures. The FSCA is responsible for market conduct regulation and supervision. FSCA aims to enhance and support the efficiency and integrity of financial markets and to protect financial customers by promoting their fair treatment by financial institutions, as well as providing financial customers with financial education. The FSCA will further assist in maintaining financial stability.
The Astana Financial Services Authority （AFSA）
The Astana Financial Services Authority (AFSA) was launched on 1 January 2018 as the independent regulator of the Astana International Financial Centre (AIFC). AFSA is a legal entity and statutory body of the Republic of Kazakhstan, and is established in accordance with the Constitutional Law of the Republic of Kazakhstan "On the Astana International Financial Centre".
Comisión Nacional de Activos Digitales （CNAD）
The National Commission for Digital Assets of El Salvador (CNAD) is an official and independent body created by the Salvadoran government, specifically responsible for regulating, supervising, and promoting the digital asset (cryptocurrency) ecosystem.
National Bank of Georgia （NBG）
The National Bank exercises supervision over the financial sector for the purposes of facilitating financial stability and transparency of the financial system, as well as for protecting the rights of the sector’s consumers and investors. The National Bank of Georgia also supervises the process of compliance, of reporting entities defined by the law of Georgia on "Facilitating the Suppression of Money Laundering and Terrorism Financing", with the requirements of the same law and legal acts issued by the Financial Monitoring Service and the National Bank of Georgia on the basis of the mentioned law. Supervision is conducted in line with the risk-based approach, both via means of off-site and on-site inspections. In addition, the NBG is the banker and fiscal agent of the government.
Indonesia Financial Services Authority （OJK）
The Indonesia Financial Services Authority (OJK) is the official regulatory authority responsible for supervising the financial services industry in Indonesia. It was established in 2011 under the Financial Services Authority Act and operates as an independent regulator within the national financial system.
The Securities Commission Malaysia （SCM）
The Securities Commission Malaysia (SC) was established on 1 March 1993 under the Securities Commission Act 1993 (SCA). We are a self-funded statutory body entrusted with the responsibility to regulate and develop the Malaysian capital market. Our mission is "to promote and maintain fair, efficient, secure and transparent securities and derivatives markets; and facilitate the orderly development of an innovative and competitive capital market".
The Bermuda Monetary Authority （BMA）
The Bermuda Monetary Authority (Authority or BMA) regulates Bermuda's financial services sector. The Authority was established by statute in 1969. Its role has evolved over the years to meet changing needs in the financial services sector. Today it supervises, regulates and inspects financial institutions operating in the jurisdiction. It also issues Bermuda’s national currency, manages exchange control transactions, assists other authorities with the detection and prevention of financial crime, and advises Government on banking and other financial and monetary matters.
Cayman Islands Monetary Authority （CIMA）
The Cayman Islands Monetary Authority （CIMA）was established as a body corporate under the Monetary Authority Law on 1 January 1997. CIMA is created from the merger of the Financial Services Supervision Department of the Cayman Islands Government and the Cayman Islands Currency Board and it takes over the former responsibilities, duties and activities of these two bodies which include the issue and redemption of Cayman Islands currency and the management of currency reserves; the regulation and supervision of financial services, the monitoring of compliance with money laundering regulations, the issuance of a regulatory handbook on policies and procedures and the issuance of rules and statements of principle and guidance; the provision of assistance to overseas regulatory authorities, including the execution of memoranda of understanding to assist with consolidated supervision and the provision of advice to the Government on monetary, regulatory and cooperative matters.
The Securities Commission of The Bahamas （SCB）
The Securities Commission of The Bahamas (“the Commission”)（SCB) is a statutory body established in 1995 pursuant to the Securities Board Act, 1995. That Act has since been repealed and replaced by new legislation. The Commission’s mandate is now defined in the Securities Industry Act, 2011 (SIA, 2011). The Commission is responsible for the administration of the SIA, 2011 and the Investment Funds Act, 2003 (the IFA), which provides for the supervision and regulation of the activities of the investment funds, securities and capital markets. The Commission, having been appointed Inspector of Financial and Corporate Services in 1 January 2008, is also responsible for administering the Financial and Corporate Service Providers Act, 2000.
Securities and Exchange Commission of Thailand （SEC）
The Securities and Exchange Commission of Thailand (SEC Thailand) is the official regulatory authority responsible for securities and capital markets in Thailand, operating under government bodies related to the Ministry of Finance. Established under the Securities and Exchange Act of 1992, the Commission oversees the registration and regulation of securities markets, bond markets, and derivatives markets. It also supervises securities companies, investment advisors, and asset management firms, and is responsible for reviewing listed company disclosures, maintaining market integrity, and protecting investors. It is one of the core regulatory institutions in Thailand’s capital market system.
Bangko Sentral ng Pilipinas （BSP）
The Bangko Sentral ng Pilipinas (BSP) is the central bank of the Republic of the Philippines. It was established on 3 July 1993 pursuant to the provisions of the 1987 Philippine Constitution and the New Central Bank Act of 1993. The BSP took over from Central Bank of Philippines, which was established on 3 January 1949, as the country’s central monetary authority. The BSP enjoys fiscal and administrative autonomy from the National Government in the pursuit of its mandated responsibilities.
Gibraltar Financial Services Commission （GFSC）
Gibraltar Financial Services Commission’s overall purpose is to regulate the financial services industry in Gibraltar. Its aim is to protect consumers, enhance the reputation of Gibraltar as a quality finance services centre, and promote good business.
Labuan Financial Services Authority （LFSA）
Labuan Financial Services Authority (Labuan FSA) was established on 15 February 1996 under the Labuan Financial Services Authority Act 1996. Labuan FSA is the statutory body responsible for the development and administration of the Labuan International Business and Financial Centre (Labuan IBFC). Labuan FSA’s key role is to license and regulate licensed entities operating within Labuan IBFC and to ensure all such entities remain in compliance with the internal and international best standards adopted by the jurisdiction. Labuan FSA also develops policies for the orderly conduct of business and financial services in Labuan IBFC.
Financial Supervision Commission （FSC）
The Financial Supervision Commission (FSC) was established on March 1st, 2003 under the Financial Supervision Commission Act. It is an institution that is independent from the executive authority and reports its activity to the National Assembly of the Republic of Bulgaria. The Commission is a specialized government body for regulation and control over different segments of the financial system – capital market, insurance market, health insurance market, pension insurance market.
Croatian Financial Services Supervisory Agency （Hanfa）
The Croatian Financial Services Supervisory Agency (Hanfa) is a supervisory authority whose scope of activities and competence cover the supervision of financial markets, financial services and legal and natural persons providing those services.
Národná banka Slovenska （NBS）
Národná banka Slovenska (NBS) was established on 1 January 1993 by Act of the National Council of the Slovak Republic No. 566/1992 Coll. on the National Bank of Slovakia as the independent central bank of the Slovak Republic.
Capital Markets Board of Türkiye （CMB）
Capital Markets Board of Türkiye (CMB) is the regulatory and supervisory authority in charge of the securities markets in Türkiye. Empowered by the Capital Markets Law (CML), which was enacted in 1981, the CMB has been making detailed regulations for organizing the markets and developing capital market instruments and institutions.
The Seychelles Financial Services Authority （FSA）
The Seychelles Financial Services Authority（FSA） is an autonomous regulatory body responsible for the non-bank financial services in Seychelles. Established under the Financial Services Authority Act, 2013, FSA is responsible for permitting and regulating licenses, enforcing regulatory and compliance requirements, monitoring and supervizing the conduct of business in the non-bank financial services sector in Seychelles. The regulated activities include fiduciary services, capital market & collective investment schemes, insurance, gambling. FSA is also responsible for the registration of international business companies, foundations, limited partnership and international trust in Seychelles.
British Virgin Islands Financial Services Commission （FSC）
The enactment of the Financial Services Commission Act in December 2001 established the British Virgin Islands Financial Services Commission (FSC) as an autonomous regulatory authority responsible for the permission, regulation, supervision of all financial services in and from within the BVI, which includes insurance, banking, fiduciary services, trustee business, company management, investment business, and insolvency services, as well as the registration of companies, limited partnerships and intellectual property. Since 2002, FSC assumed the responsibility for functions previously carried out by the Government through the Financial Services Department. FSC, as financial services regulator, is also responsible for promoting public understanding of the financial system and its products, policing the perimeter of regulated activity, reducing financial crime, and preventing market abuse.
The Financial Services Commission （FSC）
The Financial Services Commission, Mauritius (the 'FSC') is the integrated regulator for the non-bank financial services sector and global business. Established in 2001, the FSC is mandated under the Financial Services Act 2007 and has as enabling legislations the Securities Act 2005, the Insurance Act 2005 and the Private Pension Schemes Act 2012 to license, regulate, monitor and supervise the conduct of business activities in these sectors.
Mwali International Services Authority （MISA）
In 1998, after gaining independence and autonomy from the previous Republic, the Government of Mohéli adopted the Mwali Services Law 1998, a pioneering legislation for the incorporation of companies, including regulated financial entities and gaming casinos. This law was later amended in 2001. Articles 36-38 of the Constitution of Mwali provide more details on the island's public and private patrimony, including the M.I.S.A., and the capacities of promotion and regulation of private investment. The transitory provision in Article 63 confirms the continued authority of the Mwali International Services Authority, the only Authority for the autonomous territory of Moheli (Mwali), responsible for financial services and licensing.