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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.

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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Polyreg

Polyreg is a self-regulatory organization. The website explains their role and who they are.

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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.

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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.

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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.

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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.

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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.

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Ontario Securities Commission

The OSC provides and enforces securities legislation for Ontario. The website provides background information and industry topics.

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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.

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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.

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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.

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New York Stock Exchange

The NYSE website is filled with information and resources and is easy to navigate.

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National Futures Association - NFA

The NFA website provides information on NFA members and investors

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ASIA

Hong Kong

Securities and Futures Commission

The SFC website provides a good resource, including a Legislation and Regulatory Handbook.

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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.

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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.

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Ministry of Finance Japan

Note: this website is in Japanese.

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Korea

Financial Services Commission

The FSC website provides up to date information and includes latest Press Releases, Speeches and a Real-Time Economic Indicator.

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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.

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Monetary Authority of Singapore

The MAS website provides comprehensive information on their role in the Singapore market.

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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.

View Website

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.

View Website

        


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