Brokers Regulator

Brokers Regulator

A financial regulatory authority, commonly referred to as regulator, regulatory agency, or regulatory body, is a government or public organization responsible for monitoring some facet of the financial sector.

The biggest sleeper in the debate over financial service regulatory reform is how brokers and investment advisers will be regulated.The lion's share of attention has been given to hot-button issues like the Obama administration's proposed new financial consumer protection agency and ending government bailouts of large financial companies. That's because most investors end up investing their money the way their adviser recommends. If they go to an investment adviser, chances are good they will end up investing in mutual funds. If they go to a broker, they could be put in stocks, mutual funds or wrap accounts. And if they go to an insurance agent, they are more likely to end up invested in annuities.

Country	Regulatory Authority
Anguilla	Financial Services Department
Argentina	Ministry of Economy and Public Works and Services
Armenia	Central Bank of Armenia
Australia	ASIC - Australian Securities & Investments Commission
Australia	Australian - Prudential Regulatory Authority
Australia	Reserve Bank of Australia
Austria	Austrian National Bank
Bangladesh	Securities and Exchange Commission
Barbados	Securities Exchange of Barbados
Belgium	FSMA - Financial Services and Markets Authority
Belgium	National Bank of Belgium
Benin	Central Bank of West Africa States
Bermuda	Bermuda Monetary Authority
Bolivia	Superintendency of Banks & Financial Entities
Brazil	Banco Central do Brasil
Brazil	Comisspo de Valores Mobilißrios
British Virgin Islands	Government of the British Virgin Islands
Bulgaria	Bulgarian National Bank
Burkina Faso	Central Bank of West Africa States
Canada	AMF - Autorité des Marchés Financiers
Canada	Deposit Insurance Corporation
Canada	Financial Institutions Commission (British Columbia)
Canada	Financial Services Commission of Ontario
Canada	Office of the Superintendent of Financial Institutions
Canada	Ontario Securities Commission
Cayman Islands	Cayman Islands Monetary Authority
Chile	Superintendencia de Bancos e Instituciones Financieras
Chile	SVS - Chilean Securities and Insurance Supervisor
China	Securities Regulatory Commission
Colombia	Superintendencia Bancaria
Colombia	Superintendencia de Valores
Costa Rica	Superintendencia General de Entidades Financieras
Cote D'Ivoire	Central Bank of West Africa States
Cyprus	CySec - Cyprus Securities & Exchange Commission
Czech Republic	Czech National Bank
Denmark	FSA - Danish Financial Supervisory Authority
Dominican Republic	Banco Central de la Rep·blica Dominicana
Ecuador	Superintendencia de Bancos
El Salvador	Superintendencia de Valores de El Salvador
Finland	Financial Supervision Authority
France	AMF - Autorité des Marchés Financiers
France	Banque de France
Georgia	National Bank of Georgia
Germany	BaFin - The Federal Financial Supervisory Authority
Germany	Bundesbank
Ghana	Bank of Ghana
Gibraltar	Financial Services Commission
Greece	HCMC - Hellenic Capital Market Commission
Guatemala	Banco de Guatemala
Guatemala	Superintendencia de Bancos de Guatemala
Guinea-Bissau	Central Bank of West Africa States
Hong Kong	Hong Kong Monetary Authority
Hong Kong	Office of the Commissioner of Insurance
Hong Kong	SFC - Securities & Futures Commission
Hungary	Hungarian Financial Supervisory Authority
Iceland	FME - Financial Supervisory Authority - Iceland
India	Securities and Exchange Board of India
Indonesia	Bank of Indonesia
Indonesia	Capital Market Supervisory Agency - Indonesia
Indonesia	CoFTRA - Commodity Futures Trading Regulatory Agency
Ireland	Irish Financial Services Regulatory Authority
Israel	Bank of Israel
Israel	ISA - Israel Securities Authority
Italy	Banca d'Italia
Italy	Commissione Nazionale per le Societa e le Borsa
Jamaica	Bank of Jamaica
Japan	Financial Reconstruction Commission
Japan	Financial Services Agency
Japan	Financial System Planning Bureau, Ministry of Finance
Japan	FSA - Financial Supervisory Agency - Japan
Jordan	Central Bank of Jordan
Kazakhstan	National Bank of Kazakhstan
Kazakhstan	National Securities Commission of the Republic of Kazakhstan
Kuwait	Central Bank of Kuwait
Latvia	Bank of Latvia
Latvia	Insurance Supervision Inspectorate
Latvia	Securities Markets Commission of the Republic of Latvia
Liechtenstein	FMA - Financial Market Authority Liechtenstein
Lithuania	Credit Institutions Supervision Department
Lithuania	Lithuanian Securities Commission
Luxembourg	Commission de Surveillance du secteur financier
Macedonia	National Bank of the Republic of Macedonia
Malaysia	Securities Commission Malaysia
Maldives	Maldives Monetary Authority
Mali	Central Bank of West Africa States
Malta	Central Bank of Malta
Malta	MFSA - Malta Financial Services Authority
Mauritius	FSC - Financial Services Commission
Mexico	Bank of Mexico
Moldova	National Bank of Moldova
Mongolia	Bank of Mongolia
Morocco	Bank Al-Maghrib
Mozambique	Bank of Mozambique
Namibia	Bank of Namibia
Netherlands Antilles	Bank of the Netherlands Antilles
New Zealand	FMA - Financial Markets Authority
New Zealand	FSP - Financial Service Providers
Nicaragua	Central Bank of Nicaragua
Niger	Central Bank of West Africa States
Nigeria	Central Bank of Nigeria
Norway	Central Bank of Norway
Oman	Central Bank of Oman
Pakistan	State Bank of Pakistan
Palestine	Palestine Monetary Authority
Panama	National Bank of Panama
Papua New Guinea	Bank of Papua New Guinea
Paraguay	Central Bank of Paraguay
Peru	Central Bank of Peru
Philippines	Central Bank of the Philippines
Poland	National Bank of Poland
Qatar	Qatar Central Bank
Romania	National Bank of Romania
Russia	Central Bank of the Russian Federation
Russia	FFMS - Federal Financial Markets Service
Rwanda	National Bank of Rwanda
Samoa	Central Bank of Samoa
San Marino	Central Bank of San Marino
Saudi Arabia	Saudi Arabian Monetary Agency
Senegal	Central Bank of West Africa States
Serbia and Montenegro	Central Bank of Montenegro
Serbia and Montenegro	NBS - National Bank of Serbia
Seychelles	Central Bank of Seychelles
Sierra Leone	Bank of Sierra Leone
Singapore	Monetary Authority of Singapore
Slovakia	National Bank of Slovakia
Slovenia	Bank of Slovenia
Solomon Islands	Central Bank of Solomon Islands
South Africa	South Africa Reserve Bank
South Korea	Financial Supervisory Commission
South Korea	FSS - Financial Supervisory Service
Sri Lanka	Central Bank of Sri Lanka
Sudan	Bank of Sudan
Suriname	Central Bank of Suriname
Swaziland	Central Bank of Swaziland
Sweden	Sveriges Riksbank
Switzerland	FINMA - Swiss Financial Market Supervisory Authority
Switzerland	Swiss National Bank
Taiwan	Central Bank of China
Tanzania	Bank of Tanzania
Thailand	Bank of Thailand
Togo	Central Bank of West Africa States
Trinidad and Tobago	Central Bank of Trinidad and Tobago
Tunisia	Central Bank of Tunisia
Turkey	CMB - Capital Markets Board of Turkey
Uganda	The Central Bank of Uganda
Ukraine	National Bank of Ukraine
United Arab Emirates	Central Bank of the UAE
United Arab Emirates	SCA - Emirates Securities & Commodities Authority
United Kingdom	FSA - Financial Services Authority - UK
United States	CFTC - Commodity Futures Trading Commission
United States	FINRA - Financial Industry Regulatory Authority
United States	NFA - National Futures Association
United States	SIPC - Securities Investment Protection Corporation
Uruguay	Central Bank of Uruguay
Uzbekistan	The Central Bank of the Republic of Uzbekistan
Venezuela	Central Bank of Venezuela
Yemen	Central Bank of Yemen
Zambia	Bank of Zambia
Zimbabwe	Reserve Bank of Zimbabwe