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
42 matching regulators
Sorted by licence holders in our coverage • Click any authority for full statutory qualification dossier
| Regulator | Tier | Jurisdiction | Key license classes & protection | Est. | Licence holders | Dossier & registers |
|---|---|---|---|---|---|---|
| U.S. Securities and Exchange Commission | 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 | 1934 | 0 | Full Dossier →Website ↗Register ↗ |
| VQF Financial Services Standards Association (Switzerland) | 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 | 1998 | 0 | Full 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.
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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.