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
| Regulator | Tier | Jurisdiction | Key license classes & protection | Est. | Licence holders | Dossier & registers |
|---|---|---|---|---|---|---|
| SEBI | 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 ↗ |
| SEC | Tier-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) | 1992 | 0 | Full Dossier →Website ↗Register ↗ |
| SEC | Tier-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) | 1987 | 0 | Full Dossier →Website ↗Register ↗ |
| SECP | 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 ↗ |
| 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 | 1936 | 0 | Full Dossier →Website ↗Register ↗ |
| SERC | 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 ↗ |
| SFC | Tier-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) | 1989 | 0 | Full Dossier →Website ↗Register ↗ |
| SGE | 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 | 2002 | 0 | Full Dossier →Website ↗Register ↗ |
| SSC | 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 | 1994 | 0 | Full Dossier →Website ↗Register ↗ |
| State Bank of Pakistan | 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 | 1948 | 0 | Full 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 | 1994 | 0 | Full Dossier →Website ↗Register ↗ |
| UAE Telecommunications and Digital Government Regulatory 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 | 2003 | 0 | Full Dossier →Website ↗Register ↗ |
| VARA | Tier-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) | 2022 | 0 | Full 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.
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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.