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Terminal Ledger Desk

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: Electronic trading terminals, execution gateways, FIX bridge topologies and multi-broker software builds

Regulators
50
Tier-1 prudential
8
With licence holders
0
Licence records
0

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
Accounting and Corporate Regulatory Authority (Singapore)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
20040Full Dossier →Website ↗Register ↗
AMFTier-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
20040Full Dossier →Website ↗Register ↗
ASCTier-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
19550Full Dossier →Website ↗Register ↗
BCSCTier-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 ↗
California Department of Financial Protection and InnovationTier-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 ↗
Canada Deposit Insurance CorporationTier-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
19670Full Dossier →Website ↗Register ↗
CBITier-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
19430Full 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 ↗
CIPFTier-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
19690Full Dossier →Website ↗Register ↗
CSATier-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
20030Full Dossier →Website ↗Register ↗
DFITier-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
19590Full Dossier →Website ↗Register ↗
FCAATier-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
20120Full Dossier →Website ↗Register ↗
FCNBTier-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
20130Full Dossier →Website ↗Register ↗
FDRCTier-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
20100Full Dossier →Website ↗Register ↗
Federal Deposit Insurance Corporation (U.S.)Tier-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
19330Full Dossier →Website ↗Register ↗
FIDReCTier-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
20050Full Dossier →Website ↗Register ↗
Financial Conduct AuthorityTier-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
20130Full Dossier →Website ↗Register ↗
Financial Conduct Authority (UK)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
19970Full Dossier →Website ↗Register ↗
Financial Consumer Agency of CanadaTier-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
20010Full Dossier →Website ↗Register ↗
Financial Crimes Enforcement Network (FinCEN)Tier-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)
19900Full Dossier →Website ↗Register ↗
Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)Tier-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)
20000Full 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 ↗
FOSTier-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
20010Full Dossier →Website ↗Register ↗
FSCTier-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
20010Full Dossier →Website ↗Register ↗
FSCSTier-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
20010Full Dossier →Website ↗Register ↗
FSPOTier-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 ↗
GFSCTier-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
20070Full Dossier →Website ↗Register ↗
IIROCTier-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 ↗
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 ↗
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 ↗
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 ↗
NFATier-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)
19810Full 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 ↗
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 ↗
OBSITier-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 ↗
Office of the Comptroller of the Currency (U.S.)Tier-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
18630Full 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 ↗
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 ↗

Supervisory verification & licensing FAQ

How many financial regulators are tracked in Terminal Ledger Desk's coverage?

Terminal Ledger Desk tracks 50 supervisory authorities relevant to electronic trading terminals, execution gateways, fix bridge topologies and multi-broker software builds (8 Tier-1 prudential/G10 supervisors, 42 Tier-2 national supervisors, 0 Tier-3 regional/specialized authorities, and 0 offshore centres), of which 0 currently have licensed institutions on file in our dataset (0 total licence records) and 50 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 | Terminal Ledger Desk