Financial Regulation - Authority By Country

Authority By Country

See main article List of financial regulatory authorities by country

The following is a short listing of regulatory authorities in various jurisdictions, for a more complete listing, please see list of financial regulatory authorities by country.

• United States
  • U.S. Securities and Exchange Commission (SEC)
  • Financial Industry Regulatory Authority (FINRA)
  • Commodity Futures Trading Commission (CFTC)
  • Federal Reserve System ("Fed")
  • Federal Deposit Insurance Corporation (FDIC)
  • Office of the Comptroller of the Currency (OCC)
  • National Credit Union Administration (NCUA)
  • Office of Thrift Supervision (OTS)
• Financial Services Authority (FSA), United Kingdom
• Financial Services Agency (FSA), Japan
• Federal Financial Supervisory Authority (BaFin), Germany
• Autorité des marchés financiers (France) (AMF), France
• Monetary Authority of Singapore (MAS), Singapore
• Swiss Financial Market Supervisory Authority (FINMA), Switzerland
• Commissione Nazionale per le Società e la Borsa (CONSOB), Italy
• Netherlands Authority for the Financial Markets (Autoriteit Financiële Markten, AFM), Netherlands
• People's Republic of China
  • China Securities Regulatory Commission (CSRC)
  • China Insurance Regulatory Commission (CIRC)
  • China Banking Regulatory Commission (CBRC)
• Securities and Exchange Commission (Comissão de Valores Mobiliários, CVM), Brazil
• Canada
  • Canada is one of the few countries that does not have a country wide securities regulator. Canadian securities regulation is instead done at province level by separate agencies coordinated through the Canadian Securities Administrators.
  • Investment Industry Regulatory Organization of Canada (IIROC) (French: Organisme canadien de réglementation du commerce des valeurs mobilières, OCRCVM)
  • Office of the Superintendent of Financial Institutions (OSFI)