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WORLD REGULATORY ORGANISATION
Below you will find a list of the world's Main Regulatory Organisations. It is important to familiarise yourself with a country's financial regulating body if you are to enter into any kind of business there. Note that some bodies are independent and some are headed by the country's government.
We have listed Organisations alphabetically by country within each world region.
EUROPE
Cyprus
Cyprus Stock Exchange Commission
This website provides regularly updated announcements, as well as plenty of subsections on topics such as Legal Frameworks - including current legislations - and Investment Firms, European Issues and Investors.
Denmark
Danish FSA
Finanstilsynet - The Danish Financial Supervisory Authority
The Finanstilsynet website is an easy-to-navigate site for all topics including Legislation, Registers and Databases as well as Statistics and Information.
France
AMF - Autorité des marchés financiers
The AMF website is clearly laid out and provides a wealth of information on their role and who they service.
Germany
Bundeszentrale für Finanzdienstleistungsaufsicht - Bundesbank and German Financial Supervisory Authority (BaFin)
This website clearly explains the functions of the Authority and what their areas are. There are also plenty of pages on a large number of topics.
Ireland
Financial Regulator
Set up in 2003, this authority combines the Central Bank of Ireland with the Financial Services Authority of Ireland, and provides both with their own set of responsibilities and governance structure. The website is clear and full of information.
Italy
CONSOB - Commissione Nazionale Per Le Societa' E La Borsa
CONSOB provides national cooperation within the Italian financial market. It submits proposals to the Ministry of Economy and Finance, public authorities and with market bodies. The website is quite tricky to negotiate but does provide information on listed companies, intermediaries and markets.
Spain
Comisión Nacional del Mercado de Valores
The website includes sections on Legislation, Case Law and Investor's Corner. Not as clear as some other websites in this field, although there is plenty of information once you have found what you are looking for.
Sweden
Swedish Financial Supervisory Authority (Finansinspektionen)
The Finansinspektionen website clearly explains the role of the Swedish FSA, and provides their history. The site also provides a full list of who is under their supervision, and there are many pages on topics including Regulations, Market Information, Consumer and Publications.
Switzerland
There are numerous regulatory bodies within Switzerland. They include:
Groupement Suisse des Conseils en Gestion Indépendants
This is a "group of economic interests by specialized independent financial intermediaries". The website explains who they are and what their goals and mission statements are.
Polyreg
Polyreg is a self-regulatory organization. The website explains their role and who they are.
Federal Department of Finance - FDF
This website is very clearly laid out and provides information on Economic, Monetary and Financial Affairs. They also provide latest press releases and speeches, although not all of them are available in English.
The Swiss Financial Market Supervisory Authority - FINMA
FINMA is an independent supervisory authority which is designed to protect the clients of financial markets. The website is clearly broken into pages such as Regulation, Enforcement, Institutions, Media and Archive.
United Kingdom
Financial Services Authority - FSA
The FSA website is packed with information, background, the FSA Library and Register. It also provides the full FSA Handbook.
Europe General
Committee of European Banking Supervisors
The CEBS provide advice to the EC on policy issues in the banking sector and works towards cooperation between nations of the European Union. The website is easy to navigate and provides latest news and many sub pages and sections on what they do and who they service.
NORTH AMERICA
Canada
British Columbia Securities Commission
The website provides tools and resources on topics including news and publications, registrations, and securities law and policy.
Ontario Securities Commission
The OSC provides and enforces securities legislation for Ontario. The website provides background information and industry topics.
Investment Dealers Association of Canada
The IIROC is a national self-regulatory organization for investment dealers and trading activity in Canada. The website provides plenty of information and resources on the organization's role.
United States
US Securities and Exchange Commission
The SEC website provides up to date information and links, and even has a full lowdown of their role during the Credit Crisis.
US Commodity Futures Trading Commission
The CFTC was set up in 1974 in order to regulate commodity futures and option markets in the USA. The website provides Market Reports, News Room and Industry Oversight.
Financial Industry Regulatory Authority, Inc.
FINRA is the largest independent regulator in the USA for securities firms which do business there. The website provides full information and resources on the role of FINRA within the USA.
New York Stock Exchange
The NYSE website is filled with information and resources and is easy to navigate.
National Futures Association - NFA
The NFA website provides information on NFA members and investors
ASIA
Hong Kong
Securities and Futures Commission
The SFC website provides a good resource, including a Legislation and Regulatory Handbook.
Japan
Financial Services Agency
The Japan FSA website provides information about the body and their role, as well as information on Measures and Policies, Legislation and Guidelines and Councils. There are also latest news updates.
Japan Securities Dealers Association
JSDA is a self-regulatory organization which acts as a trade association in the Japanese securities market. It has legal status as a Financial Instruments Firms Association authorized by the Japanese government.
Ministry of Finance Japan
Note: this website is in Japanese.
Korea
Financial Services Commission
The FSC website provides up to date information and includes latest Press Releases, Speeches and a Real-Time Economic Indicator.
Singapore
Singapore Exchange Ltd.
This website provides information on Companies and Products, Listed Companies and Regulation. It also provides Stock Indices and Singapore Stock Market information and data.
Monetary Authority of Singapore
The MAS website provides comprehensive information on their role in the Singapore market.
Middle East
Dubai Financial Services Authority
The DFSA website provides full information on their role. There also Alerts, the DFSA Library and the Public Register.
Australia
Australian Securities & Investments Commission
This website is clearly laid out and provides plenty of resource material for financial services professionals, companies, liquidators and publications.
