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: Investment firms and financial institutions headquartered across Continental Europe
- Regulators
- 78
- Tier-1 prudential
- 14
- With licence holders
- 14
- Licence records
- 29
14 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 |
|---|---|---|---|---|---|---|
| CSSF | Tier-1 | Germany (European Union) European Economic Area & Switzerland | WpIG Class 1 / 2 (§ 15 WpIG — Eigenhandel) / WpIG Medium / Small (§ 15 WpIG — Finanzkommission / Anlageverwaltung) Entschädigungseinrichtung der Wertpapierhandelsunternehmen (EdW) / Entschädigungseinrichtung deutscher Banken (EdB) • EUR €20,000 (90% of liabilities) for securities claims via EdW; EUR €100,000 per depositor for credit institutions via EdB | 1998 | 22 active | Full Dossier →Website ↗Register ↗ |
| AFM | Tier-1 | Germany (European Union) European Economic Area & Switzerland | WpIG Class 1 / 2 (§ 15 WpIG — Eigenhandel) / WpIG Medium / Small (§ 15 WpIG — Finanzkommission / Anlageverwaltung) Entschädigungseinrichtung der Wertpapierhandelsunternehmen (EdW) / Entschädigungseinrichtung deutscher Banken (EdB) • EUR €20,000 (90% of liabilities) for securities claims via EdW; EUR €100,000 per depositor for credit institutions via EdB | 2002 | 11 active | Full Dossier →Website ↗Register ↗ |
| CNMV | Tier-1 | Germany (European Union) European Economic Area & Switzerland | WpIG Class 1 / 2 (§ 15 WpIG — Eigenhandel) / WpIG Medium / Small (§ 15 WpIG — Finanzkommission / Anlageverwaltung) Entschädigungseinrichtung der Wertpapierhandelsunternehmen (EdW) / Entschädigungseinrichtung deutscher Banken (EdB) • EUR €20,000 (90% of liabilities) for securities claims via EdW; EUR €100,000 per depositor for credit institutions via EdB | 1988 | 11 active | Full Dossier →Website ↗Register ↗ |
| AMF | Tier-1 | Germany (European Union) European Economic Area & Switzerland | WpIG Class 1 / 2 (§ 15 WpIG — Eigenhandel) / WpIG Medium / Small (§ 15 WpIG — Finanzkommission / Anlageverwaltung) Entschädigungseinrichtung der Wertpapierhandelsunternehmen (EdW) / Entschädigungseinrichtung deutscher Banken (EdB) • EUR €20,000 (90% of liabilities) for securities claims via EdW; EUR €100,000 per depositor for credit institutions via EdB | 2003 | 0 | Full Dossier →Website ↗Register ↗ |
| BaFin | Tier-1 | Germany (European Union) European Economic Area & Switzerland | WpIG Class 1 / 2 (§ 15 WpIG — Eigenhandel) / WpIG Medium / Small (§ 15 WpIG — Finanzkommission / Anlageverwaltung) Entschädigungseinrichtung der Wertpapierhandelsunternehmen (EdW) / Entschädigungseinrichtung deutscher Banken (EdB) • EUR €20,000 (90% of liabilities) for securities claims via EdW; EUR €100,000 per depositor for credit institutions via EdB | 2002 | 0 | Full Dossier →Website ↗Register ↗ |
| BCBS | Tier-1 | Switzerland (Multilateral / G20) European Economic Area & Switzerland | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Switzerland (Multilateral / G20)) • EUR €20,000 – USD $100,000+ equivalent per eligible retail investor | 1974 | 0 | Full Dossier →Website ↗Register ↗ |
| CONSOB | Tier-1 | Germany (European Union) European Economic Area & Switzerland | WpIG Class 1 / 2 (§ 15 WpIG — Eigenhandel) / WpIG Medium / Small (§ 15 WpIG — Finanzkommission / Anlageverwaltung) Entschädigungseinrichtung der Wertpapierhandelsunternehmen (EdW) / Entschädigungseinrichtung deutscher Banken (EdB) • EUR €20,000 (90% of liabilities) for securities claims via EdW; EUR €100,000 per depositor for credit institutions via EdB | 1974 | 0 | Full Dossier →Website ↗Register ↗ |
| DFSA | 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) | 1988 | 0 | Full Dossier →Website ↗Register ↗ |
| FATF | Tier-1 | France (Multilateral / OECD) European Economic Area & Switzerland | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (France (Multilateral / OECD)) • EUR €20,000 – USD $100,000+ equivalent per eligible retail investor | 1989 | 0 | Full Dossier →Website ↗Register ↗ |
| FINMA | Tier-1 | ["0"] European Economic Area & Switzerland | BankA Art. 3 (Swiss Banking Licence) / FinIA Art. 41 (Securities Firm / Wertpapierhaus) esisuisse (Swiss Banks and Securities Firms Depositor Protection Association) • CHF 100,000 per client per bank or licensed securities firm (system-wide cap of CHF 6 billion backed by member liquidity) | 2009 | 0 | Full Dossier →Website ↗Register ↗ |
| FSA | Tier-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 | 1986 | 0 | Full Dossier →Website ↗Register ↗ |
| IOSCO | Tier-1 | Spain (Multilateral / Global) European Economic Area & Switzerland | Category 1 / Principal Broker-Dealer / Category 2 / Agency Broker & Asset Manager National Investor Protection / Compensation Scheme (Spain (Multilateral / Global)) • EUR €20,000 – USD $100,000+ equivalent per eligible retail investor | 1983 | 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) | 2006 | 0 | Full Dossier →Website ↗Register ↗ |
Supervisory verification & licensing FAQ
How many financial regulators are tracked in Euro Firm Ledger's coverage?
Euro Firm Ledger tracks 78 supervisory authorities relevant to investment firms and financial institutions headquartered across continental europe (14 Tier-1 prudential/G10 supervisors, 64 Tier-2 national supervisors, 0 Tier-3 regional/specialized authorities, and 0 offshore centres), of which 14 currently have licensed institutions on file in our dataset (29 total licence records) and 76 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.