Financial Regulatory Bodies

Written by Himanshu Jain

What are regulatory bodies?

The role of financial regulatory bodies or agencies is to control the financial markets by making the regulations and to see that the those are followed by the financial companies. These regulations are meant to have proper processes for smooth running and to avoid the scams and unethical practices to protect the investors. These regulatory agencies are country or economic zone dependent and could be governmental or independent. To protect the investments it is important to check whether the regulatory status of the broker in your country.

Country wise list of Forex regulatory bodies

Country  Regulatory Bodies
Australia Australian Securities and Investment Commission (ASIC)

International Financial Services Commission (IFSC)
British Virgin Islands BVI Financial Services Commission (FSC of BVI)
Bulgaria Financial Supervision Commission of Bulgaria (FSC Bulgaria)
Canada British Columbia Securities Commission (BCSC)

Canadian Investor Protection Fund (CIPF)

Financial Transactions and Reports Analysis Center of Canada (FINTRAC)

Investment Industry Regulatory Organization of Canada (IIROC)

Ontario Securities Commission (OSC)
Cyprus Cyprus Securities and Exchange Commission (CySEC)
Denmark Danish Financial Supervisory Authority (Danish FSA)
Dubai, UAE Dubai Multi Commodities Centre (DMCC)

Dubai Gold & Commodities Exchange (DGCX)

Dubai Financial Services Authority (DFSA)

Emirates Securities and Commodities Authority (SCA)
France Autorite des marches financiers (AMF)

Banque de France

Credit Institutions and Investment Firms Committee (CECEI)
Germany Federal Financial Supervisory Authority (BaFin)
Hong Kong Securities and Futures Commission (SFC)
Indonesia Commidity Futures Trade Regulatory Agency (CoFTRA)
Ireland Central Bank of Ireland
Italy Commissione Nazionale per le Societa e la Borsa (CONSOB)
Japan Financial Services Agency of Japan (FSA Japan)

Japan Securities Dealers Association (JSDA)

Japan Investor Protection Fund (JIPF)

Tokyo Commodity Exchange (TOCOM)
Kuwait Ministry of Commerce and Industry in Kuwait

Kuwait Chamber of Commerce & Industry (KCCI)
Malta Malta Financial Services Authority (FSA in Malta)
Mauritius Financial Services Commission of Mauritius (FSC Mauritius)
New Zealand New Zealand Exchange (NZX)

Serious Fraud Office (SFO)

Financial Services Complaints Limited (FSCL)
Russia FFMS in Russia (FCFR)
Sweden Swedish Financial Supervisory Authority (Swedish FSA)
Switzerland Association Romande des Intermediares Financiers (ARIF)

Swiss Bankers Association (SBA)

Swiss Federal Banking Commission (SFBC)

Swiss Federal Department of Finance (SFDF)

Swiss Federal Finance Administration (SFFA)

Swiss Financial Market Supervisory Authority (FINMA)

Swiss National Bank (SNB)


Geneva Chamber of Commerce (CCIG)

Organisme d'Autoregulation des Gerants de Patrimoine (OAR-G)

United Kingdom UK Financial Services Authority (FSA UK)

Financial Services Compensation Fund (FSCS)
United States

Commodities and Futures Trading Commission (CFTC)

Financial Industry Regulatory Authority (FINRA)

National Futures Association (NFA)

New York Stock Exchange (NYSE)

Office of the Comptroller of the Currency (OCC)

US Securities and Exchanges Commission (U.S. SEC)

Chicago Board of Trade (CBOT)

Securities Investor Protection Corporation (SIPC)

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