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FXOpen Ledger

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: Global foreign exchange, CFD and currency-pair dealers outside regional registers

Regulators
182
Tier-1 prudential
30
With licence holders
2
Licence records
10

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
SECTier-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)
19920Full Dossier →Website ↗Register ↗
SECTier-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)
20060Full Dossier →Website ↗Register ↗
SECTier-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)
19340Full Dossier →Website ↗Register ↗
SECTier-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)
19870Full Dossier →Website ↗Register ↗
SECTier-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)
19800Full Dossier →Website ↗Register ↗
SECPTier-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 ↗
SECRSTier-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
19980Full Dossier →Website ↗Register ↗
Securities and Exchange CommissionTier-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
19360Full Dossier →Website ↗Register ↗
Securities Investor Protection Corporation (U.S.)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
19700Full Dossier →Website ↗Register ↗
SERCTier-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 ↗
SFCTier-1
Hong Kong SAR
Asia-Pacific
Type 1 & Type 2 / Type 3
Investor Compensation Fund (ICF — Administered by Investor Compensation Company Limited) • HKD $500,000 per investor per default for securities or futures contracts traded on HKEX (and northbound Stock Connect)
19890Full Dossier →Website ↗Register ↗
SFC-COTier-2
Colombia
Latin America & Africa
Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager
National Investor Protection / Compensation Scheme (Colombia) • Subject to statutory national investor protection fund limits and segregated trust priority
20050Full Dossier →Website ↗Register ↗
SGETier-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
20020Full Dossier →Website ↗Register ↗
SMVTier-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 ↗
SMVTier-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 ↗
SSCTier-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
19940Full Dossier →Website ↗Register ↗
SVG FSATier-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 ↗
Taipei Exchange (TPEx)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
19940Full Dossier →Website ↗Register ↗
TCI 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 ↗
U.S. Securities and Exchange CommissionTier-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
19340Full Dossier →Website ↗Register ↗
VFSCOffshore
Cayman Islands / Bermuda / British Virgin Islands / Bahamas / Mauritius / Seychelles / Vanuatu
Offshore Financial Centre
Full Service / Market Maker Securities Dealer / VASP / Digital Asset Business (Class F / DARE)
Contractual Custody & Segregated Trust Accounts (No Statutory Retail Compensation Fund) • EUR €0 / USD $0 statutory government compensation scheme (protection relies on segregated client trust accounts, minimum paid-up capital/bonds, and Professional Indemnity Insurance)
19980Full 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
19980Full Dossier →Website ↗Register ↗

Supervisory verification & licensing FAQ

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

FXOpen Ledger tracks 182 supervisory authorities relevant to global foreign exchange, cfd and currency-pair dealers outside regional registers (30 Tier-1 prudential/G10 supervisors, 147 Tier-2 national supervisors, 0 Tier-3 regional/specialized authorities, and 5 offshore centres), of which 2 currently have licensed institutions on file in our dataset (10 total licence records) and 179 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 | FXOpen Ledger