Find official starting points for checking financial firms, permissions and regulatory warnings across selected jurisdictions.
This directory brings together financial regulators and clearly identified self-regulatory organizations. Their roles and powers differ. Use the register or verification route relevant to the exact legal entity, service and location involved; a listing here is not a ranking or an endorsement of an authority, company or investment.
Finauthority is an independent research platform, not a regulator. Authority names and logos are used only for identification and do not imply affiliation, approval or sponsorship. This is a selected directory, not an exhaustive global list.
Entries are grouped by region and ordered alphabetically by authority name within each group.
Use official records in context
- Match the legal entity, reference number and website or contact details wherever the official record provides them.
- Read the current status, permitted activities, restrictions and territorial scope. Registration is not the same as unrestricted financial authorization.
- Check official warnings separately and confirm that the notice identifies the same company or domain.
- A genuine license number can be copied. A register entry is not a guarantee of investment performance, solvency or successful withdrawals.
For more context, read our Regulatory Statuses explanations and Research and Rating Methodology.
Africa
Financial Sector Conduct Authority (FSCA)
- Country / jurisdiction
- South Africa
- Authority type
- Public financial conduct regulator
South Africa’s FSCA regulates and supervises market conduct across financial institutions within its remit. Its provider-search resources and public warnings support checks on financial services providers, including whether a claimed licence matches the relevant legal entity.
Asia-Pacific
Australian Securities and Investments Commission (ASIC)
- Country / jurisdiction
- Australia
- Authority type
- Government financial regulator
ASIC oversees Australian companies, financial markets, financial services and consumer credit. Its registers support checks on licensed businesses and representatives. A company registration alone does not establish that a business holds an appropriate financial services licence.
Financial Services Agency (Japan FSA)
- Country / jurisdiction
- Japan
- Authority type
- Government financial regulator
Japan’s Financial Services Agency oversees financial-system stability, depositor and investor protection, and financial-market integrity. Its English-language lists of licensed and registered institutions offer a starting point for checking providers, with additional details available in Japanese.
Monetary Authority of Singapore (MAS)
- Country / jurisdiction
- Singapore
- Authority type
- Central bank and financial regulator
MAS is Singapore’s central bank and integrated financial regulator. Its Financial Institutions Directory identifies regulated institutions and their licensed activities, helping users distinguish banking, capital-markets, advisory, insurance and payments permissions rather than assuming blanket regulatory coverage.
Securities and Futures Commission (SFC)
- Country / jurisdiction
- Hong Kong
- Authority type
- Public securities regulator
Hong Kong’s SFC regulates securities and futures markets within its remit. Its public register lists licensed persons and registered institutions with regulated activities, while the alert list highlights suspicious entities, websites and other investor-protection concerns.
Europe
Austrian Financial Market Authority (FMA)
- Country / jurisdiction
- Austria
- Authority type
- Public financial regulator
Austria’s FMA supervises banks, insurers, pension funds, securities businesses and other financial-market participants within its remit. Its company database helps users review authorisations, while investor warnings identify businesses not entitled to provide specified financial services.
Autorité de contrôle prudentiel et de résolution (ACPR)
- Country / jurisdiction
- France
- Authority type
- Public prudential and resolution authority
The ACPR, attached to the Banque de France, supervises banking and insurance businesses and carries out resolution responsibilities. Its authorisation guidance identifies relevant registers so users can check a professional’s status for the service offered.
Autorité des marchés financiers (AMF)
- Country / jurisdiction
- France
- Authority type
- Public securities regulator
France’s AMF supervises financial markets, investment products and relevant market participants, with responsibilities for investor protection and information. Consult its official lists and warnings alongside the appropriate French register for the specific professional or service.
Central Bank of Ireland (Central Bank of Ireland)
- Country / jurisdiction
- Ireland
- Authority type
- Central bank and financial regulator
The Central Bank of Ireland combines central banking and financial regulation responsibilities. Its registers identify regulated financial service providers and relevant funds, while unauthorised-firm notices help users investigate suspicious businesses claiming an Irish regulatory connection.
Comisión Nacional del Mercado de Valores (CNMV)
- Country / jurisdiction
- Spain
- Authority type
- Public securities regulator
The CNMV supervises Spain’s securities markets and the activity of participants within its remit. Its official registers provide information on investment-service firms and other entities, while investor warnings help identify potentially unauthorised offers or businesses.
Commission de Surveillance du Secteur Financier (CSSF)
- Country / jurisdiction
- Luxembourg
- Authority type
- Public financial regulator
The CSSF supervises Luxembourg’s financial sector within its remit, including banks, investment firms and investment funds. Its entity-search service provides official supervisory information, while public warnings identify fraudulent claims, impersonation and potentially unauthorised financial activities.
Commissione Nazionale per le Società e la Borsa (CONSOB)
- Country / jurisdiction
- Italy
- Authority type
- Public securities regulator
CONSOB supervises Italy’s securities markets, including market transparency, investor information and relevant intermediaries. Its investment-firm records distinguish Italian firms and cross-border providers; check the home-state authority as well when reviewing a European passported firm.
Cyprus Securities and Exchange Commission (CySEC)
- Country / jurisdiction
- Cyprus
- Authority type
- Public securities regulator
CySEC supervises Cyprus investment firms, collective investment activities and other securities-market participants within its remit. Its investment-firm lists and warnings help users check legal entities and approved website domains before relying on a claimed Cyprus authorisation.
Dutch Authority for the Financial Markets (AFM)
- Country / jurisdiction
- Netherlands
- Authority type
- Public financial conduct regulator
The AFM supervises conduct in Dutch financial markets, covering services such as investment, savings, insurance and lending. Its registers help users check licences and notifications; prudential supervision is a separate responsibility, generally associated with De Nederlandsche Bank.
Federal Financial Supervisory Authority (BaFin)
- Country / jurisdiction
- Germany
- Authority type
- Public financial regulator
BaFin supervises banks, insurers, securities markets and other financial businesses in Germany within its statutory remit. Its company database distinguishes authorised institutions, notified cross-border firms and representative offices, helping users investigate an entity’s permitted activities.
Financial Conduct Authority (FCA)
- Country / jurisdiction
- United Kingdom
- Authority type
- Public financial regulator
The FCA regulates the conduct of financial services firms and financial markets in the United Kingdom. Its register helps identify firms, permissions and restrictions; consumers should match the exact legal entity and contact details.
Swiss Financial Market Supervisory Authority (FINMA)
- Country / jurisdiction
- Switzerland
- Authority type
- Public financial regulator
FINMA supervises Switzerland’s financial market, including banks, insurers, securities firms and other regulated institutions. Its official lists identify authorised institutions, individuals and products; the warning list highlights businesses whose activities have prompted supervisory concerns.
Middle East
Dubai Financial Services Authority (DFSA)
- Country / jurisdiction
- Dubai International Financial Centre, UAE
- Authority type
- Financial free-zone regulator
The DFSA regulates financial services conducted in or from the Dubai International Financial Centre. Its public register identifies authorised firms and permissions. This jurisdiction is specific to DIFC and should not be confused with UAE-wide authorisation.
Financial Services Regulatory Authority (ADGM FSRA)
- Country / jurisdiction
- Abu Dhabi Global Market, UAE
- Authority type
- Financial free-zone regulator
The FSRA regulates financial services in Abu Dhabi Global Market. Its public register supports checks on authorised firms and their permissions. ADGM authorisation is jurisdiction-specific and does not automatically establish permission to serve customers in other markets.
North America
Canadian Investment Regulatory Organization (CIRO)
- Country / jurisdiction
- Canada
- Authority type
- Self-regulatory organization
CIRO is Canada’s self-regulatory organization overseeing investment dealers, mutual fund dealers and trading on debt and equity marketplaces. Its investor resources help check advisers and firms; provincial and territorial securities regulators remain part of Canada’s oversight framework.
Commodity Futures Trading Commission (CFTC)
- Country / jurisdiction
- United States
- Authority type
- Federal derivatives regulator
The CFTC oversees U.S. derivatives markets, including futures, options and swaps. Its registration-check guidance directs users to relevant records, including NFA BASIC. Oversight depends on the activity and entity, not simply a platform’s marketing claims.
Financial Industry Regulatory Authority (FINRA)
- Country / jurisdiction
- United States
- Authority type
- Self-regulatory organization
FINRA is a nongovernmental self-regulatory organization overseeing member broker-dealers in the United States under SEC oversight. BrokerCheck provides registration, employment and disclosure information about brokers and firms; FINRA membership is distinct from government regulation.
National Futures Association (NFA)
- Country / jurisdiction
- United States
- Authority type
- Self-regulatory organization
NFA is the self-regulatory organization for the U.S. derivatives industry, operating under CFTC oversight. Its BASIC database provides background, registration, membership and disciplinary information for firms and individuals involved in futures and other covered activities.
U.S. Securities and Exchange Commission (SEC)
- Country / jurisdiction
- United States
- Authority type
- Federal securities regulator
The SEC administers U.S. federal securities laws and oversees securities markets, investment advisers and other market participants. Use Investment Adviser Public Disclosure to review adviser registrations and disclosures; registration is not an endorsement of an investment.
Keep jurisdiction and timing in view
Different authorities oversee different activities. Self-regulatory organizations are identified as such and should not be treated as interchangeable with government regulators. The DIFC and ADGM entries concern their respective financial centres, not every financial service in the United Arab Emirates.
Official websites and register services can change. If a link is unavailable, start from the authority’s official website and locate its current register or consumer guidance. Verify important information directly before entering a financial relationship.
For the limits of our research and classifications, read the Financial and Regulatory Disclaimer.