Global Securities Regulators and Authorities

Securities and conduct authorities regulate markets through jurisdiction-specific laws, licenses, rules, supervision, and enforcement. Similar agency names do not imply identical powers: one authority may combine issuer, intermediary, consumer, and prudential functions while another shares them with several bodies.

Use ESMA for the EU-level securities authority; ASIC for Australia’s corporate, markets, and financial-services conduct authority; SEBI for India’s securities-market authority; and the Financial Conduct Authority for the United Kingdom conduct regulator within its statutory remit.

Securities Regulator explains the general category. IMRO is included only as a historical UK predecessor body and must not be used for current authorization checks.

Move up to Securities and Derivatives Regulators for the wider regulatory map.

What to Check

• Legal name, jurisdiction, statutory mandate, covered product, and regulated activity.
• Whether the authority has issuer, market, intermediary, fund, conduct, prudential, or enforcement powers.
• The official register, license, rule, filing, order, and effective date.
• Whether a historical predecessor reference remains relevant to current status.
• Cross-border permissions and the role of home and host authorities.

Securities-regulator material is educational and is not legal, regulatory, compliance, securities, or investment advice.

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