Australia

Australian Financial Services License (AFSL) is a legal license provided by the Australian Securities and Investments Commission (ASIC) enabling the operation and activities of Australian financial services businesses. It is a legal requirement for any Australian financial service business to obtain an AFSL from the day business operations begin unless provided a limited license or exemption with special provisions under section 911A of the Corporations Act.

Australian Financial Services License

France

The AMF enacts the rules that apply to the players and products that fall within its remit: financial markets, listed companies, financial transactions, financial intermediaries, collective investment products, etc. In addition, the Authority  participates in the development of European and international regulation.

The Autorité des marchés financiers

Financial regulation refers to the rules and laws firms operating in the financial industry, such as banks, credit unions, insurance companies, financial brokers and asset managers must follow.

Financial 

ASIC is Australia's corporate, markets, financial services and consumer credit regulator. Our vision is for a fair, strong and efficient financial system for all Australians.

Australian Securities and Investments Commission

Crypto-license is an official permission to conduct a regulated cryptocurrency business. 

Crypto 

Forex license

Germany

The Federal Financial Supervisory Authority better known by its abbreviation BaFin is the financial regulatory authority for Germany. It is an independent federal institution with headquarters in Bonn and Frankfurt and falls under the supervision of the Federal Ministry of Finance.

Federal Financial Supervisory Authority

United States

Better Business Bureau (BBB), founded in 1912, is a private, nonprofit organization whose self-described mission is to focus on advancing marketplace trust, consisting of 97 independently incorporated local BBB organizations in the United States and Canada, coordinated under the International Association of Better Business Bureaus (IABBB) in Arlington, Virginia. 

Better Business Bureau

Russia

The Russian Central Bank (RCB is primily responsible for regulating the country's monetary system. The bank's primary function is to protect and stabilize the ruble, which it attempts to do through its control of foreign exchange.

Russian Central Bank

United Arab Emirates

The Central Bank of the United Arab Emirates is the state institution responsible for managing the currency, monetary policy and banking regulation in the United Arab Emirates.

Central Bank of the United Arab Emirates

The purpose of the CCIF Plan is to provide financial resources, through a fair and consistent process, to local individuals and groups for activities and projects that serve to strengthen the economic, cultural, educational, environmental, and social well-being of the Cabot community.

Cabot Community Investment Fund

The California Consumer Privacy Act is a state statute intended to enhance privacy rights and consumer protection for residents of California, United States.

The California Consumer Privacy Act

The Commodity Futures Trading Commission (CFTC) is a vital U.S. government agency established in 1974 to regulate the country's derivatives markets, including futures, swaps, and certain options. Its main goals are to ensure these markets are transparent, competitive, and free from fraud, manipulation, and abusive practices. The CFTC oversees market participants, conducts market surveillance to prevent misconduct, protects consumers through education and enforcement, and promotes the integrity of the financial markets. Additionally, it collaborates with international regulatory bodies to address global financial market issues. Governed by a five-member commission appointed by the President, the CFTC is essential in maintaining the stability and fairness of the U.S. derivatives markets.

Commodity Futures Trading Commission 

Cyprus

A Cyprus Investment Firm “CIF” is an entity that provides investment services and activities in the Republic. It can also be a third-country firm operating through establishing a branch in Cyprus.

Cyprus Investment Firm 

A regulated market is a market over which government bodies or, less commonly, industry or labor groups, exert a level of oversight and control. Market regulation is often controlled by the government and involves determining who can enter the market and the prices they may charge.

Stock

Cayman Islands

The Cayman Islands Monetary Authority (CIMA) is the principal financial services regulator in the Cayman Islands. Established in January 1997 through the merger of the Financial Services Supervision Department of the Cayman Islands Government and the Cayman Islands Currency Board, CIMA is tasked with managing the Cayman Islands' currency and overseeing the financial services sector, including banking, insurance, investment funds, trust companies, and corporate service providers.

CIMA's primary mission is to enhance the effectiveness and efficiency of financial regulation, thereby ensuring the stability and integrity of the Cayman Islands' financial system. It aims to protect consumers and strengthen the reputation of the Cayman Islands as a leading international financial center through the enforcement of regulatory laws and standards. CIMA operates with a commitment to international compliance, adhering to the highest international standards set by bodies such as the International Organization of Securities Commissions (IOSCO), the Basel Committee on Banking Supervision, and the Financial Action Task Force (FATF).

Cayman Islands Monetary Authority

Portugal

The CMVM - Comissão do Mercado de Valores Mobiliários (Portuguese Securities Market Commission) was established in May 1991 (Decree-Law No. 142-A/91 of 10 April) and is tasked with supervising and regulating the financial instruments markets as well as the agents operating within those markets and promoting investor protection. The CMVM also has the following responsibilities.

The Portuguese Securities Market Commission (Comissão do Mercado de Valores Mobiliários) 

Self-Regulatory Organization Non Profit Partnership (Centre for Regulation in OTC Financial Instruments and Technologies)(SRO NP CRFIN) is a non-profit partnership which aims to create effective mechanisms of the Forex market regulation in Russia.

Centre for Regulation in OTC Financial Instruments and Technologies

CROFR

Luxembourg

The Commission de Surveillance du Secteur Financier (CSSF) is responsible for the financial regulation in Luxembourg. The CSSF is responsible for the supervision of credit institutions, experts in the financial sector, investment companies, pension funds, regulated securities markets and their operators, multilateral trading facilities and payment institutions. The CSSF is the competent authority for the public auditor oversight. 

Commission de Surveillance du Secteur Financier

The Cyprus Securities and Exchange Commission, known as CySEC, is the financial regulatory agency of Cyprus. As an EU member state, CySEC's financial regulations and operations comply with the European MiFID financial harmonization law.

Cyprus Securities and Exchange Commission

Netherlands

The Central Bank of the Netherlands or DNB is part of the European System of Central banks (ESCB) and is responsible for the determination and implementation of the monetary policy for the Economic Monetary Union (EMU). The DNB is also required to oversee payment systems to ensure safe and reliable payment processing. 

De Nederlandsche Bank

Document security systems are technologies that protect documents from theft or unauthorized access. From encrypting files to controlling access, these systems automate the process of applying a variety of protective measures to minimize risk and fend off attacks.

Document security systems 

United Kingdom

The Financial Conduct Authority 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.

Financial Conduct Authority

The Financial Crimes Enforcement Network is a bureau of the United States Department of the Treasury that collects and analyzes information about financial transactions in order to combat domestic and international money laundering, terrorist financing, and other financial crimes.

Financial Crimes Enforcement Network

Switzerland

FINMA is Switzerland’s independent financial-markets regulator. Its mandate is to supervise banks, insurance companies, exchanges, securities dealers, collective investment schemes, and their asset managers and fund management companies. It also regulates distributors and insurance intermediaries. It is charged with protecting creditors, investors and policyholders. FINMA is responsible for ensuring that Switzerland’s financial markets function effectively.

Swiss Financial Market Supervisory Authority

The Financial Industry Regulatory Authority is a private American corporation that acts as a self-regulatory organization that regulates member brokerage firms and exchange markets.

Financial Industry Regulatory Authority

New Zealand

The Financial Markets Authority (FMA) of New Zealand is the key regulatory body for financial markets in New Zealand, established by the Financial Markets Authority Act 2011. It aims to ensure the integrity, transparency, and efficiency of New Zealand's financial markets.

Financial Markets Authority

 FMRRC stands for the Financial Market Relations Regulation Center. It is an independent self-regulatory agency which was created to provide a level of regulation for derivative dealers and brokers.It has no connection with the Central Bank of Russia, the official regulatory body in Russia. 

Financial Market Relations Regulation Center

Seychelles

Financial markets must be honest, fair and effective so consumers get a fair deal. FSA works to ensure that these markets work well for individuals, for businesses and for the economy as a whole. regulating the conduct of around 50,000 businesses, prudentially supervising 48,000 firms, and setting specific standards for around 18,000 firms 

Financial Services Authority Seychelles

South Africa

The Financial Sector Conduct Authority is a financial institutions market conduct regulator and a successor agency to the Financial Services Board (South Africa) in South Africa.

Financial Sector Conduct Authority 

FSCL (Financial Services Complaints Ltd.) is an independent non- profit organization that was established to resolve disputes between clients and financial services companies in New Zealand. 

Financial Services Complaints Ltd

Financial service providers (FSPs) need to be registered on Financial Service Providers Register. If your company providing certain financial services you also need to be either licensed or certified. 

Financial service providers

The FSPR is a searchable register of individuals, businesses and organisations that provide financial services in New Zealand.

Financial Service Providers Register

Marshall Islands

The Global Financial Services Authority (GLOFSA) of the Marshall Islands is responsible for the oversight and regulation of the international business and financial services sector in the country. It aims to ensure the integrity and stability of the Marshall Islands' financial system through effective supervision, regulation, and enforcement of financial services standards and laws.

Global Financial Services Authority

The International Finance Corporation is an international financial institution that offers investment, advisory, and asset-management services to encourage private-sector development in less developed countries. The IFC is a member of the World Bank Group and is headquartered in Washington, D.C. in the United States.

International Finance Corporation

IFSA

Belize

The International Financial Services Commission (IFSC) of Belize is the regulatory authority responsible for overseeing the international financial services sector in Belize. Established to promote, protect, and enhance Belize as an international financial center, the IFSC is tasked with fostering the growth and development of the financial services industry while ensuring that the services offered are transparent, reliable, and comply with international standards.

The primary objective of the IFSC is to regulate providers of international financial services, including the supervision and licensing of a wide range of financial services activities such as forex trading, brokerage services, international asset protection and management, trust services, and the registration of international business companies (IBCs). The Commission plays a crucial role in ensuring that its licensees operate with integrity, competence, and financial soundness, thereby protecting the interests of investors and the public.

International Financial Services Commission of Belize

Canada

The Investment Industry Regulatory Organization of Canada is the pan‑Canadian self‑regulatory organization that oversees all investment dealers and trading activity on Canada’s debt and equity marketplaces. IIROC is committed to protecting investors, protecting market integrity, and building Canadians’ trust in financial regulation and the people managing their investments.

Investment Industry Regulatory Organization

The International Organization for Standardization is an international standard development organization composed of representatives from the national standards organizations of member countries. Membership requirements are given in Article 3 of the ISO Statutes. 

International Organization for Standardization

KROUFR is the non-profit organization aimed at developing services and regulating relationship between Russian participants of global financial markets.Affirmed by the foundation meeting Protocol of the meeting No 1 dated 15th of December, 2003.

Commission for the Regulation of Relations between Participants in Financial Markets

Ministry of Finance and Economic Management is responsible for effective economic, fiscal, and financial management by Government. It provides the accompanying accountability arrangements, together with compliance with those requirements.

Ministry of Finance and Economic Management

Malta

The Malta Financial Services Authority is a financial regulator of Malta. The MFSA was founded in 2002 when it assumed the responsibilities of the Central Bank of Malta, the Malta Stock Exchange, and the Malta Financial Services Centre. 

Malta Financial Services Authority

The Markets in Financial Instruments Directive (MiFID) is a European regulation that increases the transparency across the European Union's financial markets and standardizes the regulatory disclosures required for firms operating in the European Union.

Markets in Financial Instruments Directive

The National Futures Association is the self-regulatory organization for the U.S. derivatives industry, including on-exchange traded futures, retail off-exchange foreign currency and OTC derivatives. NFA is headquartered in Chicago and maintains an office in New York City.

National Futures Association

The New York State Department of Financial Services is the department of the New York state government responsible for regulating financial services and products, including those subject to the New York insurance, banking and financial services laws.

New York State Department of Financial Services

NYSE Regulation (“NYSER”) is responsible for monitoring activities on the NYSE’s equities, options, and bonds market, and for addressing non-compliance with the NYSE Exchanges’ rules and federal securities laws.

New York Stock Exchange

NZFS

The Payment Card Industry Data Security Standard is an information security standard for organizations that handle branded credit cards from the major card schemes. The PCI Standard is mandated by the card brands but administered by the Payment Card Industry Security Standards Council.

Payment Card Industry

PSD2

RMI BCA

The Financial Services Board was the government of South Africa's financial regulatory agency responsible for the non-banking financial services industry in South Africa from 1990 to 2018.

South Africa Financial Services Board

The Securities and Commodities Authority (SCA) of the United Arab Emirates (UAE) is the regulatory authority responsible for overseeing and regulating the securities and commodities markets within the country. Established in 2000 by Federal Law No. (4), the SCA aims to provide a conducive environment for investment, enhance the efficiency of the financial markets, and protect investors by ensuring fairness, transparency, and integrity in trading activities.

Securities and Commodities Authority

The U.S. Securities and Exchange Commission is an independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929. The primary purpose of the SEC is to enforce the law against market. The SEC protects investors by enforcing our nation's securities laws, taking action against wrongdoers, and overseeing our securities markets and firms to ensure that investors are treated fairly and honestly

Securities and Exchange Commission

The Stock Exchange of Thailand recognizes the crucial role investor protection plays in enhancing investor confidence and contributing to market growth. The Stock Exchange of Thailand (SET) play important roles in regulatory enforcement involving brokerage firms, investors are advised to take the first step in their own protection by ensuring that they deal only with securities companies licensed by the Ministry of Finance upon the recommendation of the SEC.

Stock Exchange of Thailand

Financial Supervisory Authority is the Swedish government agency responsible for financial regulation in Sweden. It is responsible for the oversight, regulation and authorisation of financial markets and their participants.



Swedish Financial Supervisory Authority

Saint Vincent And The Grenadines

The Financial Services Authority of Saint Vincent and the Grenadines regulates the financial services industry within the jurisdiction, ensuring compliance with international standards. It aims to protect the integrity of the financial system by overseeing entities involved in banking, insurance, and securities, promoting financial stability, and safeguarding the interests of investors and consumers.

FINANCIAL SERVICES AUTHORITY  St Vincent & The Grenadines

Vanuatu

The Vanuatu Financial Services Commission (VFSC) is the regulatory body responsible for overseeing and regulating the financial services industry in Vanuatu. Established in 1993, the VFSC's mandate includes the supervision and regulation of banking, insurance, and securities, as well as the incorporation and management of companies and trusts. Its primary objective is to ensure the integrity and stability of Vanuatu's financial system, protect consumers, and promote confidence in the financial markets.

Vanuatu Financial Services Commission

The Financial Transactions and Reports Analysis Centre of Canada is the national financial intelligence agency of Canada.  FINTRAC's role is to provide CSIS with financial intelligence to assist that agency in fulfilling its mandate of investigating threats to the security of Canada.


Financial Transactions and Reports Analysis Centre of Canada

The South African Reserve Bank is the central bank of South Africa. It was established in 1921 after Parliament passed an act, the "Currency and Bank Act of 10 August 1920", as a direct result of the abnormal monetary and financial conditions which World War I had brought. 


South African Reserve Bank

The Reserve Bank of India, chiefly known as RBI, is India's central bank and regulatory body responsible for regulation of the Indian banking system. It is under the ownership of Ministry of Finance, Government of India. It is responsible for the control, issue and maintaining supply of the Indian rupee.


Reserve Bank of India

The Insurance Regulatory and Development Authority of India is a regulatory body under the jurisdiction of Ministry of Finance, Government of India and is tasked with regulating and licensing the insurance and re-insurance industries in India.

Insurance Regulatory and Development Authority Government

The Securities Investor Protection Corporation is a federally mandated, non-profit, member-funded, United States corporation created under the Securities Investor Protection Act of 1970 that mandates membership of most US-registered broker-dealers. the Securities Investor Protection Corporation (SIPC) Authorized and created under the Securities Investor Protection Act of 1970, the SIPC oversees the liquidation of broker-dealers who go bankrupt, lapse into financial trouble, or if the assets of their customers go missing.

Securities Investor Protection Corporation

Mexico

The Comisión Nacional Bancaria y de Valores (CNBV) is Mexico's national banking and securities commission, serving as the regulatory authority for the country's financial system. Established in 1995, the CNBV is responsible for overseeing and regulating the activities of banks, broker-dealers, mutual funds, and other participants in the Mexican financial system. Its main objectives are to ensure the stability and proper functioning of Mexico's banking and securities markets, protect the interests of investors, and promote fair and transparent market practices.

Comisión Nacional Bancaria y de Valores

The Dubai Financial Services Authority (DFSA) is the independent regulator of financial services conducted in or from the Dubai International Financial Centre (DIFC), a purpose-built financial free zone in Dubai, United Arab Emirates. Established in 2004, the DFSA is tasked with overseeing the operation of all financial and ancillary services within the DIFC, including asset management, banking, securities trading, Islamic finance, insurance, and the operation of international financial exchanges and clearing houses.

The DFSA's mandate is to provide a regulatory environment of international standards that fosters the economic development of the DIFC and the wider UAE. Its primary objectives include protecting direct and indirect users of the financial services industry in the DIFC, and contributing to the stability and integrity of the financial services industry in the DIFC, including the prevention of financial crimes.

Dubai Financial Services Authority

The Jersey Financial Services Commission is the regulatory body for financial services in Jersey. It is also the Registrar of Companies for Jersey.

Jersey Financial Services Commission

Malaysia

Bank Negara Malaysia (the Central Bank of Malaysia), is a statutory body which started operations on 26 January 1959. Bank Negara Malaysia is governed by the Central Bank of Malaysia Act 2009. The role of Bank Negara Malaysia is to promote monetary and financial stability. This is aimed at providing a conducive environment for the sustainable growth of the Malaysian economy.


Bank Negara Malaysia

The Federal Deposit Insurance Corporation is one of two agencies that supply deposit insurance to depositors in American depository institutions, the other being the National Credit Union Administration, which regulates and insures credit unions.

Federal Deposit Insurance Corporation

The Municipal Securities Rulemaking Board (MSRB) writes investor protection rules and other rules regulating broker-dealers and banks in the United States municipal securities market, including tax-exempt and taxable municipal bonds, municipal notes, and other securities issued by states, cities, and counties or their agencies to help finance public projects or for other public policy purposes.

Municipal Securities Rulemaking Board

GFSC

The Insurance Authority (“IA”) is a statutory body set up to administer the Insurance Ordinance. It is the principal legislation to regulate the insurance industry in Hong Kong. The regulatory framework applicable to insurers, designated insurance holding companies and insurance intermediaries in Hong Kong is set out in the Insurance Ordinance.

Insurance Authority

NMLS

The Investment Industry Regulatory Organization of Canada (IIROC) is a non-profit, national self-regulatory organization (SRO). Established through the merger of the Investment Dealers Association of Canada (IDA) and Market Regulation Services Inc. The organization sets regulatory and investment industry standards and has quasi-judicial powers in that it holds enforcement hearings and has the power to suspend, fine and expel members and registered representatives, such as advisors.

The Investment Industry Regulatory Organization of Canada

Singapore

The Monetary Authority of Singapore (MAS) is Singapore's central bank and financial regulatory authority. It administers various statutes pertaining to money, banking, insurance, securities, and the financial sector in general, as well as currency issuance. MAS aims to ensure a progressive financial sector, uphold monetary stability, manage Singapore's foreign reserves, and foster a sound and dynamic financial ecosystem, contributing to the country's growth as a global financial hub.

Monetary Authority of Singapore

AFS is the regulatory issued by ASIC that allows people or companies to legally carry on a financial services business, including selling, advising or dealing in financial products. 

Australian Financial Services

The Prudential Regulation Authority is a United Kingdom financial services regulatory body, formed as one of the successors to the Financial Services Authority. The authority is responsible for the prudential regulation and supervision of banks, building societies, credit unions, insurers and major investment firms.

Prudential Regulation Authority

A financial institution licensed by the Australian Prudential Regulatory Authority (APRA) to carry on banking business, including accepting deposits from the public. This includes:
banks, building societies, and credit unions. For AUSTRAC's purposes, the Reserve Bank of Australia and state banks are also ADIs.

Authorised deposit-taking institution

The CBN Act of 2007 of the Federal Republic of Nigeria charges the Bank with the overall control and administration of the monetary and financial sector policies of the Federal Government. 

Central Bank of Nigeria

The Nationwide Multistate Licensing System (NMLS) is the system of record for non-depository, financial services licensing or registration in participating state agencies, including the District of Columbia and U.S. Territories of Puerto Rico, the U.S. Virgin Islands, and Guam. In these jurisdictions, NMLS is the official system for companies and individuals seeking to apply for, amend, renew and surrender license authorities managed through NMLS by 66 state or territorial governmental agencies. NMLS itself does not grant or deny license authority.

The Nationwide Multistate Licensing System

The New York State Department of Financial Services (DFS or NYSDFS) is the department of the New York state government responsible for regulating financial services and products, including those subject to the New York insurance, banking and financial services laws.


Georgia

The National Bank of Georgia (NBG) is the central bank of Georgia, responsible for formulating and implementing monetary policy, promoting financial stability, and overseeing the country's banking system. Its core objectives include ensuring price stability, maintaining a stable financial system, and fostering a safe and efficient payment system. Established in the early 1990s following Georgia's independence from the Soviet Union, the NBG plays a crucial role in the country's economic development and financial regulation.

The responsibilities of the NBG are multifaceted and include issuing the national currency (Georgian Lari), managing foreign exchange reserves, regulating and supervising financial institutions, and developing and implementing monetary policy aimed at maintaining price stability. The bank also oversees the payment and settlement systems, contributes to the development of the financial market infrastructure, and promotes financial literacy among the public.

The National Bank of Georgia

The European Central Bank is the prime component of the Eurosystem and the European System of Central Banks as well as one of seven institutions of the European Union. It is one of the world's most important central banks. The European Central Bank (ECB) manages the euro and frames and implements EU economic & monetary policy. Its main aim is to keep prices stable, thereby supporting economic growth and job creation.

European Central Bank

The Australian Prudential Regulation Authority is a statutory authority of the Australian Government and the prudential regulator of the Australian financial services industry. APRA was established on 1 July 1998 in response to the recommendations of the Wallis Inquiry.

Australian Prudential Regulation Authority

A Certified Business Intermediary is an experienced business broker who is committed to the highest level of professional development the industry has to offer and has ethical values aligned with the IBBA standards of professionalism. A CBI has the ability to objectively guide clients through the intricacies of the entire marketing and negotiation process of a business sale, resulting in successful transactions and satisfied clients.

Certified Business Intermediary

Myanmar

The Central Bank of Myanmar (CBM) supervises banks and non-bank financial institutions such as leasing companies, finance companies, money services, and credit services.  CBM has liberalised the financial organisations for competition, efficiency and integration into the regional financial system. As of the end of October 2020, there 27 non-banking finance companies that are currently licensed by the Central Bank.[5] According to the changes in the economic requirements of the country, the Central Bank rate has been increased from 10 percent to 12 percent since 1 April 2006.


Central Bank of Myanmar

Bangladesh

Bangladesh Bank, the central bank and apex regulatory body for the country's monetary and financial system, was established in Dhaka as a body corporate vide the Bangladesh Bank. BB performs all the core functions of a typical monetary and financial sector regulator, and a number of other non core functions. The major functional areas include : Formulation And Implementation Of Monetary And Credit Policies, Regulation And Supervision Of Banks And Non-Bank Financial Institutions, Promotion And Development Of Domestic Financial Markets, Management Of The Country's International Reserves, Issuance Of Currency Notes,  Regulation And Supervision Of The Payment System, Acting As Banker To The Government,  Money Laundering Prevention,  Collection And Furnishing Of Credit Information, implementation Of The Foreign Exchange Regulation Act.  Managing A Deposit Insurance Scheme .

Bangladesh Bank

AOSP

The Consumer Financial Protection Bureau is a 21st century agency that implements and enforces Federal consumer financial law and ensures that markets for consumer financial products are fair, transparent, and competitive.

Consumer Financial Protection Bureau

Pakistan

The State Bank of Pakistan (SBP) is incorporated under the State Bank of Pakistan Act, 1956, which gives the Bank the authority to function as the central bank of the country. The SBP Act mandates the Bank to regulate the monetary and credit system of Pakistan and to foster its growth in the best national interest with a view to securing monetary stability and fuller utilization of the country’s productive resources.

The State Bank of Pakistan

Thailand

Japan

The Bank of Japan, (BOJ) is headquartered in the Nihonbashi business district in Tokyo. The BOJ is the Japanese central bank, which is responsible for issuing and handling currency and treasury securities, implementing monetary policy, maintaining the stability of the Japanese financial system, and providing settling and clearing services. Like most central banks, the BOJ also compiles and aggregates economic data and produces economic research and analysis.

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