Financial Services: Regulatory Agencies

The Andorran Financial Authority (AFA) was established in 1989 as a public financial institution to carry out many functions related to regulating and overseeing the financial sector in Andorra. This site contains information on the specific functions of the Institute, as well as a section on the laws and regulations in Andorra. The website is available in English, Catalan, French, and Spanish.

The Angola Ministry of Finance aims to stimulate economic activity within Angola and promote equitable distribution of national income through the implementation of its fiscal policies. The site contains a general ministry overview, financial legislation, and information regarding the national economy as well as international affairs. An English version of the site is available. 

The Antigua and Barbuda Investment Agency (ABIA) is the investment promotion agency for both domestic and foreign investors. The site provides information about various programs, initiatives, and investment opportunities. In addition, the site provides information about starting a business,  background information about Antigua and Barbuda, and a resource library.

The Financial Services Regulatory Commission (FSRC) of Antigua and Barbuda is responsible for the oversight and regulation of the financial services industry within Antigua and Barbuda. The site contains a list of services, directories, and FAQs.

The National Stock Market of Argentina, also known as Comision Nacional de Valores (CNV), is responsible for the regulation and oversight of the Argentinian Financial Services Industry. The site is only available in Spanish.

Australian Prudential Regulation Authority (APRA) oversees and regulates all areas of Australia's financial services industry. The site provides publications and statistics , as well as information regarding financial legislation and policies.

Australian Securities and Investments Commission (ASIC) is the regulator for Australia’s corporations, markets, and financial services. ASIC is more specifically involved in the registration of securities as well as the oversight of financial reporting and market mechanics. The site contains useful links and publications for those in the Australian financial services industry.

The role of the Australian Taxation Office (ATO) is to manage and shape tax, excise, and superannuation systems that fund services for Australians. The site contains a listing of all tax laws, regulations, and tips sorted by tax filing type.

The Austrian Financial Market Authority (FMA) is responsible for the regulation and supervision of the Austrian financial services industry. The site contains a list of all applicable laws, statistics, and relevant links for different sectors of the Austrian financial services industry.

The Securities Commission of The Bahamas (SCB) is responsible for the oversight and regulation of the Financial Services Industry in the Bahamas. This site contains information on how the SCB regulates, the laws it enforces, publications, and information specifically for investors.

The Ministry of Finance and National Economy of Bahrain is responsible for all aspects of the financial services industry in Bahrain: regulation, oversight, and promotion. The website includes information on budget and law, as well as analyses and headlines relating to the economic state of Bahrain.

The Securities and Exchange Commission of Bangladesh (BSEC) is responsible for creating policies and regulating the financial services industry in Bangladesh. The site contains a list of recent press releases and important links for investors.

The Financial Services and Market Authority (FSMA) is responsible for regulating and overseeing the Belgian financial services industry. This site is broken up into two major sections, one with information for consumers and the other with information for professionals. The consumer section covers general topics like savings, investments, and pensions; also offered here are fraud warnings and a portal to file complaints. The professional section offers information on major target groups, a business portal, and a link to the Belgian Audit Oversight College document collection on financial supervisory regulations. Other sections on the site cover recent news and warnings relevant to the financial industry.

The Bermuda Monetary Authority (BMA) is the regulator of the financial services industry in Bermuda. This site contains information on company matters, banking, insurance, and investment. Statistics, legislation, and publications are also available.

Royal Monetary Authority of Bhutan (RMA) is the central banking institution of Bhutan. The RMA is responsible for the creation and regulation of all monetary policy in Bhutan, including laws that govern brokers, insurance companies, and bankruptcies. The website provides forms for foreign currency exchanges. The site also provides links to other Bhutan financial institutions.

The Financial Regulatory Authority, also known as Autoridad de Supervisión del Sistema Financiero (ASFI), is responsible for regulating and supervising the financial services industry in Bolivia. The site contains statistics, publications, regulations, and consumer information. Only available in Spanish.

The Ministry of Economy and Public Finance (MEPF), or Ministerio de Economía y Finanzas Públicas, creates an equitable financial services industry in Bolivia. The MEPF site contains listings of applicable laws, industry news, economic forms, vice ministries, and citizen information. Some content is only available in Spanish. 

The Securities Commission of Federation of Bosnia and Herzegovina is responsible for the policies and regulations that impact the Bosnian financial services industry. The site contains a list of audit companies, an information registry index, and lists of laws, publications, and financial statements.

The Securities and Exchange Commission of Brazil (CVM) is charged with maintaining a fair and equitable financial services industry through policy development and regulation. This site contains information on the CVM, recent news, and important links.

The Brunei Darussalam Central Bank (BDCB), previously known as the Monetary Authority of Brunei Darussalam (AMBD), is responsible for policy development and regulatory affairs in Brunei. This site contains a list of regulatory information divided by sectors as well as information on financial intelligence and monetary policy in Brunei.

The Financial Supervision Commission (FSC) is charged with maintaining stability and transparency through policy development, promotion, and regulation. This site contains information on the FSC's projects and functions as well as relevant information in the financial services industry. 

The Department of Finance is responsible for using and regulating Canada's public funds and international trade with Canada. This site provides information about various topics, such as financial institutions & markets, international issues, federal budgets, publications, and reports. In addition, the site provides information about acts and regulations, tax treaties, news releases, notices to the media, and speeches. The website is available in English and French.

The Investment Industry Regulatory Organization of Canada (IIROC) creates the rules that all regulatory agencies in Canada's financial services industry must adhere to. This site provides information about the industry, regulations and governance, investors, and a rule book. In addition, the site offers resources, including notices, news, publications, and the IIROC Advisor Report.

The Mutual Fund Dealers Association of Canada (MFDA) is a self-regulatory agency for the distributors of mutual funds within Canada. This site contains information on regulation and enforcement as well as an area where one can check the background of a mutual fund adviser or distributor.

The Canadian Securities Administrators (CSA) is an umbrella organization composed of all of Canada's provincial financial regulators that create equal and consistent regulation and financial markets across Canada. This site provides information about various investor tools, legal enforcement, cease trade orders, and industry resources. In addition, the site provides relevant news releases, letters, and statements.

The Cayman Islands Monetary Authority regulates and supervises the financial services industry. The site provides information about the regulatory framework, regulated sectors, external cooperation and assessments, enforcement and statistics and regulated entities.

The Department of Commerce & Investment (DCI) promotes investment within the Cayman Islands. The DCI site provides information on doing business in the Cayman Islands, licensing, press releases, and news and updates. 

The Supervision of Securities and Insurance, also known as Superintendencia de Valores y Seguros (SVS), is the regulatory agency overseeing the securities and insurance segments of the Chilean financial services industry. The site contains a list of relevant legislation, presentations, stock and insurance market statistics, and recent news. The website is in Spanish, with an English overview. 

The China Banking and Insurance Regulatory Commission (CBIRC) is responsible for supervising and regulating the banking and insurance sectors of China's financial services industry. This includes making sure banks meet adequate metrics and that the Chinese depositor's interests are met. The site contains a list of notices, regulations, and reports published by the CBIRC.

The Supervisory Agency of Finance, also known as Superintendencia Financiera de Colombia, is responsible for the oversight and regulation of the entire financial services industry in Colombia. This site provides a list of regulations, recent financial news sorted by sector, a data and reports library, and information for consumers and supervised institutions. 

The Croatian Financial Services Supervisory Agency is responsible for the oversight and regulation of the Croatian Financial Services Industry. The site contains regulations, decrees, and statements as well as specific information sorted by applicable sector of the industry.

The Cyprus Securities and Exchange Commission (CySEC) is responsible for overseeing the investment services market and regulating transferable securities transactions. The site contains information about the CySEC, regulated entities, regulatory framework, and investor protection.

The Ministry of Finance is responsible for economic policy development and the regulation of public funds within Cyprus. The site explains the divisions, services, and departments of the ministry. It also contains publications, economic indicators, legislation, and the minister's press releases.

The Superintendency of Banks (SB) supervises and regulates the banking sector of the Dominican Republic's financial services industry. The site contains information on the regulations and services which the SB controls. The site also provides recent announcements, news, and statistical reports and is only available in Spanish.

The Superintendencia del Mercado de Valores de la República Dominica (SIMV), or the superintendent of the stock market, is responsible for overseeing and regulating the securities market within the Dominican Republic's financial services industry. This site contains a list of regulations, projects, services, and strategic plans for the SIMV. 

The Department of Finance, also known as Superintendencia del Sistema Financiero, is responsible for overseeing and regulating the entire financial services industry within El Salvador. The site contains statistics, rules, and financial statements.

Finantsinspektsioon is responsible for overseeing and regulating the financial services industry within Estonia. The site contains annual reports, market data, and information on financial supervision.

The Ministry of Finance of the Republic of Estonia is responsible for the implementation of tax, financial, and fiscal policies in Estonia. The ministry's website provides information on the ministry and its main activities, press releases related to the financial services industry in Estonia, and links to other useful resources.

The Finland Financial Supervisory Authority (FIN-FSA) is charged with the oversight and regulation of the entire Finnish financial services industry. The site contains information on regulation, securities registration, statistics, and publications made by FIN-FSA.

The Autorité des Marchés Financiers (AMF) is responsible for the oversight and regulation of the securities and financial markets segments of the financial services industry in France. The site provides information about market participants and products, warnings, regulations, and sanctions and settlements. In addition, the site provides the latest news and relevant publications.

The Ministry of Finance of Georgia (MOF) is a regulatory agency that works to ensure development and adherence to legislation in regards to budgeting, accounting, and taxation within Georgia. The official MOF site provides an overview of the ministry and its responsibilities, and also covers topics such as budget, public debt, and the taxation system in depth.

The Federal Financial Supervisory Authority (BaFin) is responsible for the oversight and regulation of the financial services industry within Germany. The site contains information about its structure and functions, as well as topics such as supervision, consumers, international, and recent news.  

The Hong Kong Monetary Authority (HKMA) is the governmental authority in Hong Kong responsible for maintaining monetary and banking stability through policy development and regulation. This site contains publications, statistics, and regulations as overseen by the HKMA.

The Securities and Futures Commission of Hong Kong (SFC) is responsible for the oversight and regulation of the securities and futures sectors of the Hong Kong financial services industry. The site contains a list of rules, regulations, publications, and services provided by the SFC.

The Financial Supervisory Authority (FME) is responsible for the oversight and regulation of the financial services industry within Iceland. The site contains a list of regulations, statistics, and annual reports published by the FME.

The Securities and Exchange Board of India (SEBI) is responsible for the oversight and regulation of the securities sector of the financial services industry within India. The site contains a list of regulations, publications, statistics, and news.

The Department of Finance of Ireland works to support the achievement of the government's economic and social objectives by promoting a sound, sustainable economic and budgetary environment, continuing improvements in the efficiency of public services, and an effective framework for financial services. This resource includes sections on the Irish government's budget and tax policies.

The Israel Securities Authority (ISA) is charged with the oversight and regulation of the securities and capital markets sectors of the Israeli financial services industry. The site contains information sorted by sub-sectors (such as for mutual funds only) and international and domestic regulatory information.

The National Commission for Society and the Stock Market (CONSOB) is responsible for the oversight and regulation of the Italian Financial Services Industry. The site contains a list of laws and resources, as well as an education section that covers basic legal financial material.

The Financial Services Commission (FSC) is charged with the oversight and regulation of the Jamaican financial services industry. The site also contains featured articles and speeches, information on financial education and literacy, and general information about the FSC.

The Financial Services Agency (FSA) of Japan is responsible for the oversight and regulation of the Japanese financial services industry. The site provides information about various laws and regulations, measures, regulated institutions, and topical information. In addition, the site provides annual reports, announcements, and FAQs related to the financial industry.

The Ministry of Finance (MOF) offers information on the budget, customs, national property, government bonds, tax policy, and stabilization of Japan. The site also provides links to other major financial institutions in Japan.

The Securities and Exchange Surveillance Commission (SESC) of Japan is responsible for the oversight and regulation of the securities and capital market sectors of the Japanese financial services industry. The site contains news, regulations, and publications as they apply to Japan.

The Jordan Securities Commission (JSC) oversees and regulates the financial services industry within Jordan. The site contains a list of news, publications, regulations, and information on specific services provided by the JSC.

The Capital Markets Authority (CMA) supervises, licenses, and monitors the capital market and market intermediaries. The site provides information about the regulatory framework of the CMA, investor protection and education, and licensing and approvals. In addition, the site includes news and events, multiple online services, research and policy publications, and information regarding the CMA's upcoming plans for the capital market.

The Ministry of Finance is responsible for regulating Kuwait's Financial Services Industry and international trade. This site contains a listing of all of the relevant laws, guidelines, and circulars distributed by the Ministry. This website is only available in Arabic.

The Financial and Capital Market Commission (FKTK) is in charge of the oversight and regulation of the Latvian financial services industry. The site contains relevant information regarding the commission, financial markets, licensing, legislation, statistics, aggregate news, and publications.

The Financial Market Authority (FMA) of Liechtenstein, also known as Finanzmarktaufsicht Liechtenstein, is the independent financial market supervisory authority responsible for overseeing and regulating the financial services industry in Liechtenstein. The site contains resources sorted by individual sectors, reports, news, and general market and financial information.

The Financial Sector Surveillance Commission (CSSF) is responsible for the oversight and regulation of the Financial Services Industry in Luxembourg. This site includes laws, regulations, and statistics sorted by sector, as well as circulars, press releases, annual reports, and publications. The CSSF website also provides information about the composition of the European System of Financial Supervision and information for consumers. 

The Ministry of Finance (MOF) in Malaysia is responsible for ensuring adherence to tax and budget regulations. The official MOF website provides information on the current economic status and business environment in Malaysia, as well as downloadable publications and statistics. Although this site is available in English, some portions may only be viewed in Malay.

The Malaysian Securities Commission (SC) is responsible for the oversight and regulation of the Malaysian financial services industry. The SC site contains information on legislation, licensing, enforcement, and statistics about capital markets.

The Malta Financial Services Authority (MFSA) is responsible for overseeing and regulating the financial services industry within Malta. The site contains a list of regulations and publications used by the MFSA.

The National Banking and Securities Commission, Comision Nacional Bancaria y de Valores (CNBV), is charged with the oversight and regulation of the banking and brokerage sectors of the Mexican financial services industry. The site contains information on regulation, statistics, and international affairs as regulated by the CNBV. Website only available in Spanish.

The Mexican Ministry of Finance is responsible for the regulation and use of public funds as well as the development of economic policy. The site provides official information on the Mexican economy, including basic data as well as documents and reports on the economic policy. Site is only available in Spanish.

L’Autorité Marocaine Du Marché Des Capitaux (AMMC) is charged with the oversight and regulation of the Moroccan financial services industry. The site contains applicable information for investors and participating companies, as well as a list of regulations to ensure the protection of savings and proper functioning. Some parts of the site are only available in French.

The Netherlands Authority for the Financial Markets (AFM) is responsible for the oversight and regulation of the financial services industry within the Netherlands. The site contains plenty of resources sorted by relevant users (consumer or professional) to provide a better understanding of how the finance industry works for the public, businesses, and government. 

The New Zealand Financial Markets Authority (FMA) is responsible for the oversight and regulation of the Financial Services Industry. This site contains information on investing, compliance, legislation, statistics, and reports and papers. A free newsletter is available for subscription with registration.

The Securities and Exchange Commission (SEC) of Nigeria is responsible for the oversight and regulation of the Nigerian financial services industry. The site contains recent news, regulations, enforcement activities, SEC filings and guidelines, and market information.

Finanstilsynet (FSA) is an independent government agency in charge of overseeing and regulating the financial services industry in Norway. The site contains information in several areas, including banking and finance, the securities market, and auditing. In addition, the site provides various documents, annual reports, and risk outlook reports.

The Ministry of Finance is responsible for policies and regulations that affect taxation and public fund use within Norway. This site contains budgetary information, publications, and news updates.

The website of the Ministry of Finance provides information pertinent to financial regulation in Pakistan, including the federal budget, an economic survey, and a directory of press releases. The site also provides a general overview of the ministry.

The Securities and Exchange Commission of Pakistan (SECP) is responsible for the oversight and regulation of the Pakistani financial services industry. This site contains information on licensing, finance, and corporate governance. The website also provides data and statistics.

The Superintendency of Banks of Panama, also known as Superintendency de Bancos Panama (SBP), is responsible for the oversight and regulation of the banking sector of Panama's financial services industry. The site contains lists of entities, regulations, statistics, and news.

The Securities and Exchange Commission (SEC) is responsible for the oversight and regulation of the financial services industry within the Philippines. This site contains regulations, notices, statistics, and news releases.

The Polish Financial Supervision Authority (PFSA) is responsible for the oversight and regulation of the Polish financial services industry. The PFSA site contains a list of financial regulations, publications, and market data sorted by relevant sector.

The Romanian Financial Supervisory Authority, also known as the Autoritatea de Supraveghere Financiara (ASF), is charged with the oversight and regulation of the Romanian Financial Services Industry. The site contains information on regulation, investing, and an annual report produced by the ASF.

The Saint Lucia Department of Finance, Economic Growth, Job Creation, External Affairs and the Public Service is responsible for the supervision and regulation of the financial services industry within Saint Lucia. The site contains information on regulation and reporting agencies such as news and press releases, research articles, and government resources.

The Financial Services Authority provides a wealth of relevant knowledge for business professionals interested in the financial industry of Saint Vincent and the Grenadines. The information is given through sections on business activities, laws and regulations, and investment framework. Additionally, the authority offers general information on the archipelago. 

The Samoa Ministry of Finance (MOF) manages government finances, develops economic strategies, and represents the government in dealing with international financial institutions. On the MOF site, users can access budgets & forecasts, financial statements, and ministry publications.

The Capital Market Authority (CMA) is responsible for the oversight and regulation of the Saudi Arabian financial services industry. The site contains information on rules, qualifying exams, publications, events, and announcements.

The Republic of Serbia Securities Commission is responsible for the oversight and regulation of the Serbian Financial Services Industry. The site contains a list of regulations, educational courses, and commission opinions. Some site content is only available in Serbian. 

The Seychelles Financial Services Authority (FSA) is responsible for the regulation of non-bank financial services to protect civilian interests. The site provides a legal framework for the industry and news regarding financial services.

This is the official website for the Solomon Islands Government's Ministry of Finance & Treasury. The site includes information on government finances, customs and excise, publications and forms, and taxation.

The Competition Commission of South Africa, established by the Competition Act, regulates abusive and restrictive business practices in the country in order to promote efficiency in the economy. The site includes ways to file mergers, lodge complaints, apply for a leniency, and apply for exemptions. It also includes events, publications, and information on banking.

The Financial Services Conduct Authority (FSCA) is in charge of the oversight and regulation of the non-banking sectors of South Africa's financial services industry. The site contains industry links, legislation, and publications.

The Financial Services Commission (FSC) is responsible for the oversight and regulation of South Korea's credit and equity sectors of the Financial Services Industry. The site contains laws, news, and relevant links.

The General Directorate of Insurance and Pensions is responsible for the oversight and regulation of the insurance and pension sectors of the Spanish Financial Services Industry. The site contains information on the sector and investment professionals and an area to file any regulatory concerns. 

The National Securities Market Commission (CNMV) is responsible for the oversight and regulation of the capital markets sector of the Spanish financial services industry. The site contains information on the markets, listed companies, and investment firms. This resource is available in Spanish with a limited English translation.

Finansinspektionen (FI) oversees and regulates the Swedish financial services industry. The site provides information about regulations, authorization information, supervisory activity, and international information. In addition, the site contains recent news, registers, and reports.

The Financial Markets Authority (FINMA) is responsible for the oversight and regulation of the Swiss financial services industry. The site contains information on regulation, enforcement, and institutions. Also provided are publications such as speeches, news articles, and fact sheets that provide information about specific functions and structures of FINMA. 

The Financial Supervisory Commission is the competent authority for the development, supervision, regulation, and examination of financial markets and financial service enterprises in Taiwan. The site contains information regarding the laws and regulations  governing financial institutions in Taiwan and provides financial publications.

The Capital Markets and Securities Authority (CMSA) is charged with the oversight and regulation of the Tanzanian financial services industry. The site contains information on legislation including regulations and educational programs for the public and businesses.

The Danish Financial Supervisory Authority (FSA) is charged with the oversight and regulation of the Danish financial services industry. The site contains a list of laws, regulations, and statistics about the financial services industry in Denmark. An English version of the site is available. However, some features are only available in Danish. 

The Financial Market Council (Conseil du Marché Financier) is responsible for the oversight and regulation of the financial services industry within Tunisia. The site contains news, publications, regulations, and reference texts. Only available in French and Arabic.

The Banking Regulation and Supervision Authority (BRSA) is responsible for the oversight and regulation of the banking sector of the Turkish financial services industry. The site contains legislation, statistics, and publications.

The Capital Markets Board (CMB) of Turkey is charged with the oversight and regulation of the capital markets sector of the financial services industry within Turkey. The site contains laws, a list of institutions, and resources specifically for investors.

The Capital Markets Authority (CMA) is responsible for the oversight and regulation of the financial services industry within Uganda. The site contains resources such as investor education, publications, and legislation.

The Financial Conduct Authority (FCA) is responsible for the oversight and regulation of the Ukrainian Financial Services Industry. The site includes resources such as information on firms, markets, and consumers as well as the FCA handbook that includes legislation and regulations.

The HM Treasury is responsible for the oversight and regulation of public finances within the United Kingdom. The site contains information on budgets, regulations, and consultations, as well as a directory of published and upcoming statistics.

The Commodity Futures Trading Commission (CFTC) oversees and regulates the futures sector of the United States financial services industry. The site contains press releases, market reports, laws, regulations, and information on industry oversight and consumer protection.

The Department of the Treasury is charged with the oversight and regulation of the use of public finances in the United States' financial services industry. The site contains information on Treasury policies and services as well as links to several additional resources.

The Federal Deposit Insurance Corporation (FDIC) oversees and regulates the banking sector of the financial services industry in the United States. This site contains information on regulation and consumer protection, as well as industry analysis and case studies.

The Financial Industry Regulatory Authority (FINRA) is an independent, non-profit organization responsible for the oversight and regulation of the capital markets segment of the financial services industry in the United States. The site contains information on regulation, compliance, and education for both industry professionals and investors.

The Securities and Exchange Commission (SEC) is responsible for overseeing and regulating the securities sector of the financial services industry in the United States. The site contains information on regulation, enforcement, and education. Company filing information and recent news are features also available on the site.