List of Regulators

Forex Regulation and Non-Regulation Risk

Why is regulation in forex so important? The objective of regulation is to ensure fair and ethical business behavior. Under current regulatory contracts, all foreign exchange brokers, investment banks, and signal sellers are required to operate in strict compliance with the rules and standards laid down by the forex regulators or their activities can be deemed unlawful. These bodies must be registered and licensed in the country where their operations are based, which ensures quality control standards are met. Their brokerage houses are subject to periodic audits, reviews, and evaluations which force them to maintain the industry standards. In addition, regulated forex brokers must keep a sufficient amount of funds to be able to execute and complete foreign exchange contracts concluded by their clients and also to return clients’ funds intact in case of bankruptcy.

Should a regulatory agency find a broker infringing on its guidelines, it can use a wide range of enforcement powers—criminal, civil, and regulatory—to protect consumers and to take action against firms or individuals that do not meet acceptable standards.

Here is a list of the Majors:

 

Australian Securities & Investments Commission

asic-logo (1)
ASIC is an interdependent government body and the main regulatory authority for the commonwealth of Australia.

Contact Information:
Phone: 1300 300 630 (within Australia), + 61 3 5177 3988 (international).
Fax: (03) 5177 3999.
Website

____________________

 

Swiss Financial Market Supervisory Authority

FINMA Logo
FINMA is an interdependent regulatory body in Switzerland. It’s responsible for ensuring effective enforcement of the applicable financial laws and legislation, protection of clients, assist in market restructuring and enhance innovation in the financial sector.

Contact Information:
Phone: +41 (0)31 327 98 88
Fax: +41 (0)31 327 91 01
Email: info@finma.ch
Website

____________________

 

German Federal Financial Supervisory Authority

BaFin
BaFin operates in the public interest. Its primary objective is to ensure the proper functioning, stability and integrity of the German financial system. Bank customers, insurance policyholders and investors ought to be able to trust the financial system.

Contact Information:
Bundesanstalt für Finanzdienstleistungsaufsicht
Graurheindorfer Str. 108
53117 Bonn
Postfach 1253
53002 Bonn
Fon: 0228 / 4108 – 0
Fax: 0228 / 4108 – 1550
E-Mail: poststelle@bafin.de
De-Mail: poststelle@bafin.de-mail.de
Website

____________________

 

Financial Conduct Authority

FCA-logo
The FCA is a independent regulator in the United Kingdom and currently the most renowned in the EU. It accountable to the Treasury of the UK and its operations expand to financial regulation, client protection and law enforcement.

Contact Information:
Phone: 0800 111 6768 (UK), +44 20 7066 1000 (international)
Email: consumer.queries@fca.org.uk
Website

____________________

 

Financial Services Commission (Mauritius)

FSC-logo
The FSC is an independent regulator in Mauritius. Its responsibilities include overseeing all financial markets (except banking) and promoting international business in the country.

Contact Information:
Phone: (+230) 403-7000
Fax: (+230) 467-7172
Email: fscmauritius@intnet.mu
Website

____________________

 

Commodity Futures Trading Commission

CFTC-Logo
The CFTC is an independent authority in the United States of America that regulates options and futures markets. Its goals also include protecting consumers from fraud, ensuring market transparency and prevention of potential abusive practices.

Contact Information:
Phone: 1-866-FON-CFTC (866-366-2382)
Email: Questions@cftc.gov
Website

____________________

 

Financial Services Board

FSB-Logo
The FSB is the regulatory authority in South Africa. It was formed in 1990 and overlooks all financial activities in the country including the Johannesburg Stock Exchange.

Contact Information:
Phone: 1-866-FON-CFTC (866-366-2382)
Email: Questions@cftc.gov
Website

____________________

 

Cyprus Securities and Exchange Commission

CySEC-Logo
CySEC is the regulatory authority in Cyprus, a member state of the European Union. Since Cyprus is a Forex hub, there is a large number of well established brokers licensed by CySEC.

Contact Information:
Phone: +357 22506600
Fax: +357 22506700
Email: info@cysec.gov.cy
Website

____________________

 

National Futures Association

National-Futures-Association-Logo
The NFA is a financial regulatory authority in the United States. It operates independently of the government and its main goal is to protect investors involved in futures and commodities trading.

Contact Information:
Phone: 312-781-1410 or 800-621-3570
Fax: (212) 964-3913 (NY), (312) 781-1467 (Il)
Email: information@nfa.futures.org
Website

____________________

 

Financial Services Agency, Government of Japan

Fsa-jp-logo
The Financial Services Agency (金融庁 Kin’yū-chō?) is a Japanese government organization and an integrated financial regulator responsible for overseeing banking, securities and exchange, and insurance sectors in order to ensure the stability of the financial system of Japan. The agency operates with a commissioner and reports to the Minister for Financial Services. It oversees the Securities and Exchange Surveillance Commission and the Certified Public Accountants and Auditing Oversight Board.

Contact Information:
3-2-1 Kasumigaseki Chiyodaku Tokyo, 100-8967 Japan
TEL +81-(0)3-3506-6000
Website

____________________

 

Securities and Futures Commission

securities-and-futures-commission-logo
The SFC is an independent statutory body in Hong Kong, established in 1989. Its main task is to regulate the securities and futures markets and promote the city as a major financial center.

Website

____________________

 

British Virgin Islands Financial Services Commission

BVI-FSC-Logo
The BVI FSC is an independent regulatory body responsible for overseeing financial activities in the British Virgin Islands. Its operations cover banking, insurance, investments, mutual funds and more.

Contact Information:
Phone: 284-494-1324 or 284-494-4190
Fax: 284-494-5016
Email: webmaster@bvifsc.vg
Website

____________________

 

Financial Service Providers Register

fsp-new-zealand

The Financial Service Providers Act was passed into law on 29 September 2008 in New Zealand and put into effect in 2010. As part of the government’s financial sector it requires all service providers to register and obtain a licence in order to provide financial services in the country.

Contact Information:
Phone: 0508 377 746 (local), +64 3 962 6162 (International)
Fax: +64 9 912 7787
Website

____________________

 

USA – Financial Industry Regulatory Authority

Finra
In the United States, the Financial Industry Regulatory Authority, Inc. (FINRA) is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) and the member regulation, enforcement and arbitration operations of the New York Stock Exchange. It is a non-governmental organization that regulates member brokerage firms and exchange markets. The government agency which acts as the ultimate regulator of the securities industry, including FINRA, is the Securities and Exchange Commission

Contact Information:
FINRA
1735 K Street
Washington DC, 20006
FINRA Call Center: (301) 590-6500
Website

____________________

 

USA – Securities and Exchange Commission

US-SecuritiesAndExchangeCommission-Seal.svg
The U.S. Securities and Exchange Commission (SEC) is an agency of the United States federal government. It holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nation’s stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States.

Contact Information:
SEC Headquarters
100 F Street, NE
Washington, DC 20549
(202) 942-8088
contact form: https://tts.sec.gov/oiea/QuestionsAndComments.html

____________________

 

Central Bank of UAE

cbbanner01
The Central Bank of the United Arab Emirates is a state control institution responsible for regulating the financial markets in the region.

Contact Information:
Phone: +9712-6652220
Fax: +9712-6652504
Email: uaecb@cbuae.gov.ae
Website

____________________

 

Bank of Russia

cbr.ru

Contact Information:
Bank of Russia
Address: 12 Neglinnaya Street, Moscow, 107016 Russia
tel.: +7 495 771-91-00, fax: +7 495 621-64-65
Questions about the operation of the Bank of Russia’s website shall be addressed at: webmaster@www.cbr.ru

____________________

Federal Financial Markets Service <<

Dissolved 2013 https://en.wikipedia.org/wiki/Federal_Financial_Markets_Service
The Federal Financial Markets Service (FFMS, FSFR) (Russian: Федеральная служба по финансовым рынкам, ФСФР) was a Russian federal executive body which regulated Russian financial markets including securities issuance and trading and supervision of exchanges, issuers, professional market participants and their Self-Regulatory Organisations; the Russian Federation Pension Fund; the State management company. A major social role of FFMS was to promote public understanding of securities laws and their practical application.
The FFMS is regulatory body in Russia responsible for overseeing financial markets. It was created in 2004 by Russian president Vladimir Putin and its currently a part of the Russian government with its HQ in Moscow.

____________________

 

More Information

Hopefully the information on this website has been helpful to you. If you are still looking for more information about us then you can contact us through one of our preferred contact methods below.

Email: info@ForeignExchangeMarket.org

Alternately, >> Contact Us <<