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Forex Broker Regulatory Bodies

Forex Regulator

Is your forex broker regulated? It is strongly recommended to trade with a broker that operates in a country where their dealing activities are monitored by a regulatory body. Regulated Forex brokers have to adhere to a set of requirements which are designed to help both protect and maintain a level of service to the client.

For instance, in the US, brokers should be regulated by the CFTC and the NFA while brokers in the UK should be regulated by the FSA. Regulated brokers in the US are required to submit financial reports to its regulators and are subject to lengthy regulatory audits covering everything from marketing practices to employee training regimens.

Countries with best regulatory agencies include:

  • USA
  • UK
  • Eurozone
  • Japan
  • Australia
  • Switzerland

Below is a comprehensieve list of regulated bodies for each country:

Forex Regulatory Bodies By Country

AustraliaAustralian Securities and Investment Commission (ASIC)
International Financial Services Commission (IFSC)
British Virgin IslandsBVI Financial Services Commission (FSC of BVI)
BulgariaFinancial Supervision Commission of Bulgaria (FSC Bulgaria)
Canada

British Columbia Securities Commission (BCSC)Canadian Investor Protection Fund (CIPF)Financial Transactions and Reports Analysis Center of Canada (FINTRAC)Investment Industry Regulatory Organization of Canada (IIROC) 

Ontario Securities Commission (OSC)

CyprusCyprus Securities and Exchange Commission (CySEC)
DenmarkDanish Financial Supervisory Authority (Danish FSA)
Dubai, UAE

Dubai Multi Commodities Centre (DMCC)

Dubai Gold & Commodities Exchange (DGCX)

Dubai Financial Services Authority (DFSA)

Emirates Securities and Commodities Authority (SCA)

France

Autorite des marches financiers (AMF)

Banque de France Credit Institutions and Investment Firms Committee (CECEI)

GermanyFederal Financial Supervisory Authority (BaFin)
Hong KongSecurities and Futures Commission (SFC)
IndonesiaCommidity Futures Trade Regulatory Agency (CoFTRA)
IrelandCentral Bank of Ireland
ItalyCommissione Nazionale per le Societa e la Borsa (CONSOB)
JapanFinancial Services Agency of Japan (FSA Japan) Japan Securities Dealers Association (JSDA) Japan Investor Protection Fund (JIPF) Tokyo Commodity Exchange (TOCOM)
KuwaitMinistry of Commerce and Industry in Kuwait Kuwait Chamber of Commerce & Industry (KCCI)
MaltaMalta Financial Services Authority (FSA in Malta)
MauritiusFinancial Services Commission of Mauritius (FSC Mauritius)
New ZealandNew Zealand Exchange (NZX) Serious Fraud Office (SFO) Financial Services Complaints Limited (FSCL)
RussiaFFMS in Russia (FCFR)
SwedenSwedish Financial Supervisory Authority (Swedish FSA)
Switzerland

Association Romande des Intermediares Financiers (ARIF)

Swiss Bankers Association (SBA) 

Swiss Federal Banking Commission (SFBC)

Swiss Federal Department of Finance (SFDF)

Swiss Federal Finance Administration (SFFA)

Swiss Financial Market Supervisory Authority (FINMA)

Swiss National Bank (SNB)

 PolyReg

Organisme d’Autoregulation des Gerants de Patrimoine (OAR-G)

United KingdomUK Financial Services Authority (FSA UK) Financial Services Compensation Fund (FSCS)
United StatesCommodities and Futures Trading Commission (CFTC)

Financial Industry Regulatory Authority (FINRA)

National Futures Association (NFA)

New York Stock Exchange (NYSE)

Office of the Comptroller of the Currency (OCC)

US Securities and Exchanges Commission (U.S. SEC)

Chicago Board of Trade (CBOT)

Securities Investor Protection Corporation (SIPC)

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