Global Regulatory Entities

Why is broker regulation important to you as a trader?

The forex market is a giant. Almost 5 trillion dollars’ worth of transactions happens daily.

locked lock forex regulatory entities

With the size this big, you need regulatory protection.

You don’t want unregulated brokers to put your deposit and profits at risk when it comes to withdrawal time.

So, how can you achieve protection?

Simple, by trading with the regulated forex broker.

When you trade with the regulated broker, it adds multiple layers of security.

If a broker meets all of the key conditions and obtains a license from the regulatory body, it signifies that the broker follows standards.

One of the major concerns when trading with unregulated forex brokers is that they are not required to adhere to any recognized standards.
You can’t rule out unethical or illegal activity. If something goes south, you can’t do anything about it.

When choosing a forex broker, you need to take the first step as a trader to check the broker’s regulations.

After all, you wouldn’t give someone claiming to be authentic thousands of dollars, would you?

You might be thinking, “How can I choose a regulated broker”?
Well, it’s not that difficult. Several regulatory bodies help you differentiate regulated from non-regulated brokers.

The most reputable forex regulatory bodies are FCA (Financial Conduct Authority) in the UK, ASIC (Australian Securities and Investments Commission) in Australia, and NFA (National Futures Association) in the US.
Take your time when selecting a broker.

Don’t get caught by bonus offers and a flashy website.

Want to know if your broker is regulated? Just search your chosen broker on the below-mentioned listed regulatory bodies’ websites.

FSCS UK Regulatory Entity


Financial Services Compensation Scheme FSCS is a compensation scheme based in the UK. They help protect any customer of a financial services firm that has failed. If a firm cannot pay claims against it and has failed, you can contact FSCS to help you compensate for your claims. FSCS is very easy to use. You can submit your claim through their online claims service, which is completely free to use.  FSCS is operated independently of government and financial service agencies. FSCS services aim to increase the public’s market confidence and protect their customers. FSCS Mission FSCS aims to provide their customers with their rightful claims after the failure of a financial firm. FSCS will provide their customers with fast reimbursements

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FFAJ Regulatory Entity


By reflecting all the developing funds, FFAJ started working in 1989. FFAJ is an abbreviation for the Financial Futures Association of Japan. This organization was established under the authorization of the Finance Minister according to the Financial Futures Trading Law promulgated in 1988. FFAJ’s main aim is to ensure that investors are protected. Thus, it contributes towards the sound and stable growth of financial futures industries. Moreover, it contributes to the massive rise of futures trading through proper business management within financial futures firms. Introduction By 2020, The FFAJ has 147 member organizations, and it is following its mission as a self-regulatory organization. It merely works for the financial instrument companies and all those registered institutions that operate as financial

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UCRFIN Regulatory Entity


UCRFIN Regulatory Entity (Ukrainian centre for the development of OTC financial instruments and technologies) is a non-profit organisation that works to bring together enterprises that provide forex market services in Ukraine. UCRFIN Goal is to unite the company’s efforts to promote the effective growth of the forex market in Ukraine, including the market’s legal framework and technological foundation. UCRFIN also implements common standards and market ethics for the Forex brokerages and supervises the association members and other market participants to assist their customers in promoting and safeguarding their legal rights and interests before government agency consultative groups and business organisations. UCRFIN history UCRFIN Regulatory Entity (Ukrainian centre for the development of OTC financial instruments and technologies) was established in August

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DMCC Regulatory Entity


The regulatory entity of DMCC is known for its involvement in international trade. It appears to be the world’s top and fastest-growing Free Zone. The main function of the DMCC is to facilitate and promote trade across different commodities and goods. Diamonds, gold, precious metals, food, tea, and industrial materials are all included here. It is now home to some major multinationals and start-ups through which this organisation connects with over 19,000 companies. Dubai Multi Commodities Centre offers world-class services to raise leading infrastructure and introduce a vibrant community they need to fully succeed. Main role, vision & mission Since 2002, DMCC has been working as a government entity. Through Dubai City, they play a major role in enhancing commodity

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MFSA Regulatory Entity


Malta Financial Services Authority- MFSA is the main regulatory body of Malta. It was established in July 2002. The headquarters are in Birkirkara. It replaced its preceding agency Malta Financial Services Centre (MFSC), as the primary financial regulator of the Republic of Malta. MSFA took up responsibilities of the Central Bank of Malta and the Malta Stock Exchange as well. Malta Financial Services Authority (MFSA) administrates investment, insurance, banking, pension and financial markets in Malta. On top of that, it also handles the securities markets in Malta. MFSA ensures a fair and transparent market. The interests of both the consumer and the institutions are kept in mind. As the main regulatory body of Malta, MFSA works to provide a healthier

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FSC Mauritius Regulatory Entity


FSC (Mauritius) Regulatory Entity works as a regulatory body for all global business sectors and non-bank financial services. This body began working in 2001 under the supervision of the Financial Services Act 2007. All businesses that fall under the Insurance Act 2005 and the Private Pension Schemes Act 2012 are regulated, supervised, and licensed. The FSC aims to be the internationally recognized body for sustaining financial development in Mauritius. Their competitiveness and soundness make them the best Financial Services Centre. Main mission The main mission of FSC involves: They promote fairness, transparency, and the development of capital markets and financial institutions in Mauritius. It protects the investors from any crime or scam who have just newly invested in different non-banking

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NAUFOR Regulatory Entity


The National Association of Stock Market Participants is an industry-wide, independent self-regulatory organisation. It is a non-profit organisation that is responsible for the regulation of financial markets in Russia. NAUFOR was previously called the Professional Association of Stock Market Participants- PAUFOR. In 1995 the Russian trading system was created based on PAUFOR. Therefore, June 1996 is considered to be the official date on which this self-regulatory organisation was established. The professionals of stock and financial markets must be under the authority of NAUFOR. History of NAUFOR The history of the National Association of Stock Market Participants dates back to 1994. On May 15th, 1994, fifteen participants in the financial markets decided to unite under common collaboration standards. The association called

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IIROC Regulatory Entity


The Investment Industry Regulatory Organization of Canada (IIROC) is an independent self-regulatory organization within Canada. The regulation entity oversees all dealings in Canadian debt and equity markets by investment dealers. While maintaining efficient and competitive capital markets, the IIROC sets high-quality standards for regulation. The IIROC regulates investment industry standards, protects investors, and strengthens market integration entities carrying out specific regulatory responsibilities in several ways. First, the entity sets and enforces the rules regarding dealer firms’ proficiency, business, and financial conduct and their registered employees. Also, IIROC sets and enforces market integrity rules regarding trading activity on equity marketplaces of Canada. Being a self-regulatory organization, IIROC must act honestly, transparently, and fairly to fulfil its mandate. Understanding the IIROC Associated

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FINRA Regulatory Entity


FINRA stands for “Financial Industry Regulatory Authority”. The US Securities and Exchange Commission is responsible for protecting investors from financial crime. Their goal is to establish and oversee general rules of regulation to achieve this goal. Thus, they follow the guidance that regulates the US broker-dealers’ industry and trading of all financial assets. Structure of FINRA FINRA began operating in 2007. It was formed through the consolidation of the National Association of Securities Dealers (NASD) and serves as the New York Stock Exchange (NYSE). In this consolidation, the dealers and brokers have been governed by a single authority. Thus, it even removes the overlap between two different organizations. FINRA is one of the largest non-profit, non-governmental and self-regulatory organizations in

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VFSC Regulatory Entity


The Vanuatu Financial Services Commission is a regulatory organisation that supervises and regulates Vanuatu’s finance industry. It plays the role of an efficient registry so that the finance industry professionals may be satisfied. VFSC was previously known as the Registrar of Companies and the Official Receivership Department of the Treasury. After independence, it became the Ministry of Finance and Economic Management. The commission was formally established in 1993 under the Vanuatu Financial Services Commission Act No. 35. The VFSC was introduced to provide licenses for financial service corporations. Its main aim is to prevent money laundering and to maintain the reputation of Vanuatu’s financial market. VFSC is responsible for administering the legislation of financial markets in Vanuatu. History of VFSC

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