Choosing a broker is half about fees and platforms, half about who’s watching them. Regulators set the rules for client money, leverage, marketing, conduct, and—crucially—what happens when something goes wrong. Use the official registers and warning lists before you fund an account, then keep those pages bookmarked for future checks. Below is a global map of the main authorities, grouped by region. Every name includes a direct link to the regulator’s official site so you can verify licenses, read rulebooks, and file complaints if needed.
United States
The US splits oversight by product. Securities (stocks/ETFs/options) sit under one set of rules, futures and retail forex under another. Most retail traders touch all three at some point, so you’ll usually check more than one register.
- Securities and Exchange Commission (SEC)
- Financial Industry Regulatory Authority (FINRA)
- Commodity Futures Trading Commission (CFTC)
- National Futures Association (NFA)
United Kingdom
European Union & EEA
- European Securities and Markets Authority (ESMA)
- Germany – BaFin
- France – AMF
- Spain – CNMV
- Italy – CONSOB
- Cyprus – CySEC
- Netherlands – AFM
- Belgium – FSMA
- Ireland – Central Bank of Ireland
- Sweden – Finansinspektionen
- Denmark – Finanstilsynet
- Finland – Financial Supervisory Authority (FIN-FSA)
- Austria – FMA
- Luxembourg – CSSF
- Portugal – CMVM
- Greece – HCMC
- Poland – KNF
- Czech Republic – CNB
- Romania – ASF
- Lithuania – Bank of Lithuania
- Latvia – Latvijas Banka (financial supervision)
- Slovakia – Národná banka Slovenska
- Hungary – Magyar Nemzeti Bank
Switzerland & Liechtenstein
Canada
Broker-dealers are overseen day-to-day by a national self-regulatory body, with provincial regulators above that. For a firm’s license, check both levels.
- Canadian Investment Regulatory Organization (CIRO)
- Ontario – OSC
- Québec – Autorité des marchés financiers (AMF)
- British Columbia – BCSC
- Alberta – ASC
- Saskatchewan – FCAA
- Manitoba – MSC
- Nova Scotia – NSSC
Australia & New Zealand
Asia (Major Markets)
- Japan – Financial Services Agency (JFSA)
- Singapore – Monetary Authority of Singapore (MAS)
- Hong Kong – Securities and Futures Commission (SFC)
- South Korea – Financial Services Commission (FSC)
- South Korea – Financial Supervisory Service (FSS)
- India – Securities and Exchange Board of India (SEBI)
- Malaysia – Securities Commission Malaysia (SC)
- Indonesia – Otoritas Jasa Keuangan (OJK)
- Thailand – Securities and Exchange Commission (SEC)
- Philippines – Securities and Exchange Commission
- Vietnam – State Securities Commission (SSC)
- Taiwan – Financial Supervisory Commission (FSC)
- China – China Securities Regulatory Commission (CSRC)
Middle East
- United Arab Emirates – Securities and Commodities Authority (SCA)
- Dubai International Financial Centre – DFSA
- Abu Dhabi Global Market – FSRA
- Saudi Arabia – Capital Market Authority (CMA)
- Qatar – Qatar Financial Markets Authority (QFMA)
- Kuwait – Capital Markets Authority
- Bahrain – Central Bank of Bahrain (CBB)
- Oman – Capital Market Authority
- Israel – Israel Securities Authority (ISA)
- Turkey – Capital Markets Board (CMB)
Africa
- South Africa – Financial Sector Conduct Authority (FSCA)
- Kenya – Capital Markets Authority (CMA)
- Nigeria – Securities and Exchange Commission (SEC)
- Ghana – Securities and Exchange Commission
- Mauritius – Financial Services Commission (FSC)
- Seychelles – Financial Services Authority (FSA)
- Egypt – Financial Regulatory Authority (FRA)
Latin America
- Brazil – Comissão de Valores Mobiliários (CVM)
- Brazil – Banco Central do Brasil
- Mexico – Comisión Nacional Bancaria y de Valores (CNBV)
- Chile – Comisión para el Mercado Financiero (CMF)
- Colombia – Superintendencia Financiera de Colombia (SFC)
- Peru – Superintendencia del Mercado de Valores (SMV)
- Argentina – Comisión Nacional de Valores (CNV)
Offshore Financial Centres
These jurisdictions often appear in broker group structures. Always confirm the exact permissions of the entity holding your account.
- Bermuda – Bermuda Monetary Authority (BMA)
- Bahamas – Securities Commission of The Bahamas (SCB)
- Cayman Islands – Cayman Islands Monetary Authority (CIMA)
- British Virgin Islands – Financial Services Commission (BVIFSC)
- Belize – International Financial Services Commission (IFSC)
- Seychelles – Financial Services Authority (FSA)
- Mauritius – Financial Services Commission (FSC)
- St. Vincent & the Grenadines – Financial Services Authority (SVG FSA)
- Labuan (Malaysia) – Labuan FSA
How to actually use these regulators’ sites
Before you send money, match three things line-by-line: the broker’s legal entity name, the license number, and the permissions category. On the regulator’s site, search the public register and confirm the entity is authorized for the services you plan to use (e.g., dealing in securities, FX, CFDs). Open the consumer or enforcement sections and scan warning lists for clone firms using similar names or look-alike websites. Save PDFs or screenshots of the register entry in your records. When a broker uses a “group” structure, identify exactly which entity will hold your funds and which regulator covers that entity.
If you’re already a client and something feels off—withdrawals delayed without a clear reason, different beneficiary names on funding, or pressure to switch payment channels—stop funding, document everything, and use the regulator’s complaint path. Most of the sites above have a clear “File a complaint” or “Report a firm” section with forms and guidance.