Regulator index
Regulators and their public registers
The supervisors behind the licences in our coverage, with links to each regulator’s website and register so you can check a licence at the source.
Coverage: Stock brokers, investment platforms and wealth managers
- Regulators
- 59
- With licence holders on file
- 14
- With a register search link
- 59
- Licence records
- 566
All regulators
Sorted by licence holders in our coverage
| Regulator | Est. | Licence holders | Links |
|---|---|---|---|
| SFC Securities and Futures Commission | 1989 | 6363 active | Website ↗Register ↗ |
| CYSEC Cyprus Securities and Exchange Commission | 2001 | 1512 active | Website ↗Register ↗ |
| ASIC Australian Securities and Investments Commission | 1998 | 1312 active | Website ↗Register ↗ |
| FCA Financial Conduct Authority | 2013 | 1010 active | Website ↗Register ↗ |
| FCA Financial Conduct Authority (UK) | 1997 | 108 active | Website ↗Register ↗ |
| FMA Financial Markets Authority | 2011 | 77 active | Website ↗Register ↗ |
| FSCA Financial Sector Conduct Authority | 2018 | 66 active | Website ↗Register ↗ |
| SEC U.S. Securities and Exchange Commission | 1934 | 33 active | Website ↗Register ↗ |
| ATVP Securities Market Agency | 1994 | 11 active | Website ↗Register ↗ |
| IIROC Investment Industry Regulatory Organization of Canada | 2008 | 11 active | Website ↗Register ↗ |
| SCA Securities and Commodities Authority | 2000 | 11 active | Website ↗Register ↗ |
| SEC The Securities and Exchange Commission | 1980 | 11 active | Website ↗Register ↗ |
| SEC U.S. Securities and Exchange Commission | 1934 | 11 active | Website ↗Register ↗ |
| SIPC Securities Investor Protection Corporation (U.S.) | 1970 | 11 active | Website ↗Register ↗ |
| AMMC Moroccan Capital Market Authority | 2016 | 0 | Website ↗Register ↗ |
| ASC Alberta Securities Commission | 1955 | 0 | Website ↗Register ↗ |
| BCSC The British Columbia Securities Commission | 1996 | 0 | Website ↗Register ↗ |
| BESC Bangladesh Securities and Exchange Commission | 1993 | 0 | Website ↗Register ↗ |
| CIPF Canadian Investor Protection Fund | 1969 | 0 | Website ↗Register ↗ |
| CMA Capital Market Authority | 1999 | 0 | Website ↗Register ↗ |
| CMA Capital Markets Authority | 2010 | 0 | Website ↗Register ↗ |
| CMA Capital Markets Authority | 2011 | 0 | Website ↗Register ↗ |
| CMA Capital market Authority | 2004 | 0 | Website ↗Register ↗ |
| CMB Capital Markets Board of Turkey | 1981 | 0 | Website ↗Register ↗ |
| CMDA Capital Market Development Authority | 2006 | 0 | Website ↗Register ↗ |
| CMSA The Capital Markets and Securities Authority | 1995 | 0 | Website ↗Register ↗ |
| CMVM The Portuguese Securities Market Commission | 1991 | 0 | Website ↗Register ↗ |
| CSA Canadian Securities Administrators | 2003 | 0 | Website ↗Register ↗ |
| CSRC China Securities Regulatory Commission | 1992 | 0 | Website ↗Register ↗ |
| CVM Securities and Exchange Commission of Brazil | 1976 | 0 | Website ↗Register ↗ |
| ESMA European Securities and Markets Authority | 2011 | 0 | Website ↗Register ↗ |
| FSB Securities and Futures Bureau | 2004 | 0 | Website ↗Register ↗ |
| HCMC Hellenic Capital Market Commission | 2020 | 0 | Website ↗Register ↗ |
| ISA Israel Securities Authority | 1968 | 0 | Website ↗Register ↗ |
| JSC Jordan Securities Commission | 1997 | 0 | Website ↗Register ↗ |
| LSC Lao Securities Commission | 2009 | 0 | Website ↗Register ↗ |
| MSC The Manitoba Securities Commission | 1968 | 0 | Website ↗Register ↗ |
| NCFM National Commission for Financial Markets of Moldova | 1998 | 0 | Website ↗Register ↗ |
| NSSC Nova Scotia Securities Commission | 1992 | 0 | Website ↗Register ↗ |
| NSSMC National Securities and Stock Market Commission | 1995 | 0 | Website ↗Register ↗ |
Regulator names, websites and register links come from an imported dataset and have not been checked one-by-one. Where the source gave only a Chinese name, the English name comes from our reviewed glossary or an editor’s translation.