List of Financial Regulators

Your broker must be licensed by a financial regulator. Consult this list to determine which financial regulators you can trust.

What is financial regulation? Financial management regulation is your ultimate guarantee that your investments are entrusted to competent professionals. This list will assist you in identifying the most prominent, respected and dependable financial regulators and licensing authorities.

The governments of all major industrialised countries oversee their financial regulatory agencies in order to safeguard the interests of their citizens. They are subject to extensive executive, judicial, legislative, and public oversight. Their responsibilities include licensing of brokerages and brokers and monitoring their activities. That helps ensure maximum protection for investors. 

The Most Respected Financial Regulators Include:

Beware of Ineffective and Fraudulent Regulators 

Alert consumers should beware, however, that weak bodies calling themselves regulatory commissions may also exist. That is especially true in the offshore countries in which many online brokerages claim to be located. Due to the limited governmental infrastructure in these countries – which tend to be underpopulated and underfinanced – the capacity of such agencies to carry out its monitoring function is nominal at best and non-existent at worst.

In addition, some unscrupulous financial investment sites may claim to be members of or regulated by independent industry regulatory associations. In reality, these associations are fictitious. By mentioning them, the operators of these sites are attempting to assure you that the services they offer are reliable when, in fact, they are not.