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 |
|---|---|---|---|---|---|---|
| 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 | 2004 | 0 | Full Dossier →Website ↗Register ↗ |
| ASC | 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 | 1955 | 0 | Full Dossier →Website ↗Register ↗ |
| BCSC | 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 | 1996 | 0 | Full Dossier →Website ↗Register ↗ |
| California Department of Financial Protection and Innovation | 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 | 2020 | 0 | Full Dossier →Website ↗Register ↗ |
| Canada Deposit Insurance Corporation | 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 | 1967 | 0 | Full Dossier →Website ↗Register ↗ |
| CIPF | 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 | 1969 | 0 | Full Dossier →Website ↗Register ↗ |
| CSA | 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 | 2003 | 0 | Full Dossier →Website ↗Register ↗ |
| DFI | 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 | 1959 | 0 | Full Dossier →Website ↗Register ↗ |
| FCAA | 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 | 2012 | 0 | Full Dossier →Website ↗Register ↗ |
| FCNB | 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 | 2013 | 0 | Full Dossier →Website ↗Register ↗ |
| FDRC | 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 | 2010 | 0 | Full 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 | 1933 | 0 | Full Dossier →Website ↗Register ↗ |
| FIDReC | 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 | 2005 | 0 | Full Dossier →Website ↗Register ↗ |
| Financial Conduct Authority | 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 | 2013 | 0 | Full 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 | 1997 | 0 | Full Dossier →Website ↗Register ↗ |
| Financial Consumer Agency of 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 | 2001 | 0 | Full 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) | 1990 | 0 | Full 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) | 2000 | 0 | Full Dossier →Website ↗Register ↗ |
| FOS | 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 | 2001 | 0 | Full Dossier →Website ↗Register ↗ |
| FSC | 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 | 2001 | 0 | Full Dossier →Website ↗Register ↗ |
| FSCS | 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 | 2001 | 0 | Full Dossier →Website ↗Register ↗ |
| FSPO | 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 | 2018 | 0 | Full Dossier →Website ↗Register ↗ |
| GFSC | 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 | 2007 | 0 | Full Dossier →Website ↗Register ↗ |
| IIROC | 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 | 2008 | 0 | Full Dossier →Website ↗Register ↗ |
| MSC | 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 | 1968 | 0 | Full Dossier →Website ↗Register ↗ |
| New York State Department of Financial Services | 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 | 2011 | 0 | Full Dossier →Website ↗Register ↗ |
| NSSC | 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 | 1992 | 0 | Full Dossier →Website ↗Register ↗ |
| NYSDFS | 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 | 2011 | 0 | Full Dossier →Website ↗Register ↗ |
| OBSI | 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 | 1996 | 0 | Full 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 | 1863 | 0 | Full 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 | 1987 | 0 | Full 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 | 1987 | 0 | Full Dossier →Website ↗Register ↗ |
| OSC | 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 | 1932 | 0 | Full Dossier →Website ↗Register ↗ |
| OSS | 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 | 2008 | 0 | Full Dossier →Website ↗Register ↗ |
| OSS‑NL | 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 | 1990 | 0 | Full Dossier →Website ↗Register ↗ |
| Prudential Regulation Authority (UK) | 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 | 2013 | 0 | Full Dossier →Website ↗Register ↗ |
| SBO | 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 | 1993 | 0 | Full 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 | 1970 | 0 | Full Dossier →Website ↗Register ↗ |
| TDB | 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 | 1905 | 0 | Full Dossier →Website ↗Register ↗ |
| U.S. Federal Reserve System | 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 | 1913 | 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.
Related regulatory & compliance analysis
Definitive 2026 flagship cornerstone guide to FIX 4.4, Binary SBE & Equinix LD4/NY4 Trading Terminal Benchmark on Terminal Ledger Desk (terminalledgerdesk.com). Covers FIX Trading Community / ISO 20022 / MiFID II RTS 6 & RTS 25 (PTP Sync) statutory rules, Tier-1 quantitative benchmarks, mathematical formulation (FIX44-SBE-LD4-NY4), and compliance verification.
2026 institutional desk audit of fix 4.4 session sequence reset focusing on architecture reference diagram. Covers statutory register tie-out (MT5-CORE), 4.9 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
How modern prime-of-prime brokers and multi-asset platforms allow institutional clients to trade FX, commodities, equities, and crypto from a single unified wallet.
2026 institutional desk audit of fix 4.4 session sequence reset focusing on latency benchmark protocol. Covers statutory register tie-out (FIX-STANDARD), 5.8 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
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.
