FSPR – New Zealand

The Financial Services Providers Register known as FSPR is a financial regulatory body in New Zealand. FSPR opened to accept applications on 16 August 2010. The company headquarters are at Northern Business Centre, Private Bag 92061, Victoria Street West, Auckland 1142, New Zealand.

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SFC – Hong Kong


The Securities and Futures Commission known as SFC from Hong Kong is an independent statutory body charged with regulating the securities and futures markets. SFC was formed in 1989 and the company headquarters are at Hong Kong.

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SEC – US

The US Securities and Exchange Commission known as SEC is an agency from US. SEC is a government commission created by Congress to regulate the securities markets and protect investors. SEC was formed on 6 June, 1934 and the jurisdiction is on United States federal Government. The company headquarters are at Washington, D.C.

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NFA – US

The National Futures Association known as NFA is a self-regulatory agency from the US derivatives industry, on-exchange trade futures, retail off-exchange foreign currency and OTC derivatives. NFA was formed in 1982 and for more than 32 years they developed rules and provided programs and offered services that kept safe market’s integrity and protect investors. The company headquarters are at Chicago.

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CFTC – US

The Commodity Futures Trading Commission known as CFTC is an independent financial agency from US that was created in 1974 and that regulates futures and option markets. The jurisdiction of the agency is the Federal government of United States. The company headquarters are at 1155 21st Street, NW, Washington, D.C.

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AFM – Netherlands

The Netherlands Authority for the Financial Markets known as Autoriteit Financiële Markten or AFM is a financial services regulatory from Netherlands. The agency was formed in March 2002 and it’s jurisdiction is in Kingdom of the Netherlands. AFM is an autonomous administrative authority, but falls under the political responsibility of the Minister of Finance.

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CNMV – Spain

The Comisión Nacional del Mercado de Valores known as CNMV is a financial government agency that is responsible for the financial regulation of the securities markets in Spain. The agency is independent that falls under the Ministry of Economy and Finance of Spain. CNMV was formed in 1988 and the company headquarters are at Madrid, Spain.

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CONSOB – Italy

The Commissione Nazionale per le Società e la Borsa known as CONSOB or Italian Securities and Exchange Commission is the financial government authority from Italy witch is responsible for regulating the Italian market. CONSOB was formed 41 years ago on 1974 and the company headquarters are at Rome, Italy.

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MiFID – EU

The Markets in Financial Instruments Directive known as MiFID is a subsequently amended of European Union law witch provides harmonized regulation for investment services at 31 member states from the European Economic Area witch includes those 28 EU member states and Iceland, Norway and Liechtenstein. MiFID was implemented on 1 November 2007 and has as main objective to increase competition on trading market and also the consumer protection is an important functions.

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