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Sunday, 25 October 2026RSS
World Firm 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: Financial institutions headquartered across Singapore, Asia-Pacific, the Middle East and emerging markets

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 ↗
AFSATier-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 ↗
ARDFMTier-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 ↗
ASICTier-1
Australia
Asia-Pacific
AFSL — Retail OTC Derivatives Issuer (Market Maker) / AFSL — Responsible Entity (RE) / Custodian
Financial Claims Scheme (FCS — APRA ADIs) & Compensation Scheme of Last Resort (CSLR) • AUD $250,000 per account holder per APRA-authorised bank (FCS); up to AUD $150,000 for unpaid AFCA determinations covered by the CSLR (personal advice, credit, securities brokerage)
19980Full Dossier →Website ↗Register ↗
AUSTRACTier-1
Australia
Asia-Pacific
AFSL — Retail OTC Derivatives Issuer (Market Maker) / AFSL — Responsible Entity (RE) / Custodian
Financial Claims Scheme (FCS — APRA ADIs) & Compensation Scheme of Last Resort (CSLR) • AUD $250,000 per account holder per APRA-authorised bank (FCS); up to AUD $150,000 for unpaid AFCA determinations covered by the CSLR (personal advice, credit, securities brokerage)
20060Full Dossier →Website ↗Register ↗
Australian Prudential Regulation AuthorityTier-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
19980Full Dossier →Website ↗Register ↗
Bangko Sentral ng PilipinasTier-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
19930Full Dossier →
Bank of IsraelTier-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
20250Full Dossier →Website ↗Register ↗
BAPPEBTITier-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
19990Full Dossier →Website ↗Register ↗
BBTier-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
19710Full Dossier →Website ↗Register ↗
BDCBTier-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
20110Full Dossier →Website ↗Register ↗
BESCTier-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
19930Full Dossier →Website ↗Register ↗
BNMTier-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
19590Full Dossier →Website ↗Register ↗
BOLTier-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 ↗
BOTTier-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
19420Full Dossier →Website ↗Register ↗
BOTTier-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
19420Full Dossier →Website ↗Register ↗
Central Bank of BahrainTier-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
20060Full Dossier →Website ↗Register ↗
Central Bank of JordanTier-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
19590Full Dossier →Website ↗Register ↗
Central Bank of KuwaitTier-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
19680Full Dossier →Website ↗Register ↗
Central Bank of Sri LankaTier-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
19500Full Dossier →Website ↗Register ↗
Central Bank of the UAE (CBUAE)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
19800Full Dossier →Website ↗Register ↗
CFFEXTier-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
20060Full Dossier →Website ↗Register ↗
CGSETier-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
19100Full Dossier →Website ↗Register ↗
CMATier-1
United Arab Emirates (DIFC / ADGM / Dubai)
Middle East & GCC
Category 2 / Category 3A (DFSA / ADGM FSRA) / Category 3C / Category 4 (DFSA / ADGM FSRA)
Statutory Client Money & Safe Custody Trust Protection (DFSA COB 6.12 / ADGM COBS 14 / VARA Custody Rulebook) • 100% bankruptcy-remote statutory trust segregation of client money and virtual assets (no pooled retail cash compensation fund; protected via strict base/expenditure capital & PII insurance)
20040Full Dossier →Website ↗Register ↗
CMATier-1
United Arab Emirates (DIFC / ADGM / Dubai)
Middle East & GCC
Category 2 / Category 3A (DFSA / ADGM FSRA) / Category 3C / Category 4 (DFSA / ADGM FSRA)
Statutory Client Money & Safe Custody Trust Protection (DFSA COB 6.12 / ADGM COBS 14 / VARA Custody Rulebook) • 100% bankruptcy-remote statutory trust segregation of client money and virtual assets (no pooled retail cash compensation fund; protected via strict base/expenditure capital & PII insurance)
20100Full Dossier →Website ↗Register ↗
CMA-KWTier-2
Kuwait
Middle East & GCC
Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager
National Investor Protection / Compensation Scheme (Kuwait) • Subject to statutory national investor protection fund limits and segregated trust priority
20100Full Dossier →Website ↗Register ↗
Commodity Futures Trading Regulatory Agency of Indonesia (BAPPEBTI)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
20050Full Dossier →Website ↗Register ↗
CRTier-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
19930Full Dossier →Website ↗Register ↗
CRTier-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
19930Full Dossier →Website ↗Register ↗
CSRCTier-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 ↗
CVMTier-2
Brazil
Latin America & Africa
Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager
National Investor Protection / Compensation Scheme (Brazil) • Subject to statutory national investor protection fund limits and segregated trust priority
19760Full Dossier →Website ↗Register ↗
Department of Economic Development, DubaiTier-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 ↗
DFSATier-1
["4"]
Middle East & GCC
Category 2 / Category 3A (DFSA / ADGM FSRA) / Category 3C / Category 4 (DFSA / ADGM FSRA)
Statutory Client Money & Safe Custody Trust Protection (DFSA COB 6.12 / ADGM COBS 14 / VARA Custody Rulebook) • 100% bankruptcy-remote statutory trust segregation of client money and virtual assets (no pooled retail cash compensation fund; protected via strict base/expenditure capital & PII insurance)
20040Full Dossier →Website ↗Register ↗
FDRSTier-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 →
FFAJTier-1
Japan
Asia-Pacific
FIEA Type I FIBO (第一種金融商品取引業) / FIEA Type II FIBO & Investment Management
Japan Investor Protection Fund (JIPF) & Deposit Insurance Corporation of Japan (DICJ) • JPY ¥10,000,000 per retail client via JIPF (for Type I securities firms); JPY ¥10,000,000 + interest per depositor via DICJ for Japanese banks
19890Full 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 Intelligence Unit – IndiaTier-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)
20040Full Dossier →Website ↗Register ↗
Financial Services 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
20080Full Dossier →Website ↗Register ↗
Financial Services Regulatory Authority, Abu Dhabi Global MarketTier-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 Supervisory Commission (Taiwan)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 ↗

Supervisory verification & licensing FAQ

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

World Firm Ledger tracks 93 supervisory authorities relevant to financial institutions headquartered across singapore, asia-pacific, the middle east and emerging markets (17 Tier-1 prudential/G10 supervisors, 76 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 (7 total licence records) and 90 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 | World Firm Ledger