Compliance
License & Registration Monitoring
The License & Registration Monitoring dashboard tracks the authorization status of brokers and financial firms across regulators, so you always know who is properly licensed and where.
It captures the full lifecycle — new registrations, renewals, status changes, lapses, and revocations — making it straightforward to verify a counterparty, spot firms operating without proper authorization, and watch how a company's regulatory footprint shifts over time.
Sign in to look up specific firms, filter by regulator or jurisdiction, and review historical status changes.
Data Coverage
Covers licensing and registration status for financial firms across multiple regulators and jurisdictions.
Latest Compliance Insights
Compliance InsightsESMA Orders Immediate Wind-Down of Unauthorized Crypto-Asset Service ProvidersThe European Securities and Markets Authority (ESMA) has ordered all unauthorized crypto-asset service providers (CASPs) to execute an orderly wind-down of their EU activities by July 1, 2026.Compliance InsightsAfter 12,000 Takedowns, ASIC Turns to a Whitelist of Australia’s Licensed Broker SitesThe regulator is
publishing the genuine website addresses of more than 6,500 licensees so
consumers can check them before investing, a preventative shift after two years
of removing scam sites at a...Compliance InsightsMFSA Targets Marketing and Complaints HandlingThe Malta Financial Services Authority (MFSA) intensified its regulatory oversight on June 11 by publishing the results of its 2025 Outcomes-Based Supervision (OBS) framework. Moving away from trad...Compliance InsightsThree AI Shifts and a $40 Billion Fraud Forecast: Reading the FCA’s First Horizon ScanThe Financial
Conduct Authority’s first public Technology Horizon Scan sets out three ways
AI, synthetic media and programmable finance could reshape financial services
by 2030, published as gen-AI...Compliance InsightsDORA One Year Later: What the First Major Incident Report Reveals About Financial Sector ResilienceWhile initially seen as a regulatory burden, the first DORA incident report shows financial institutions are improving resilience by detecting and containing ICT incidents faster, limiting their im...Compliance Insights$331 Million in Penalties and a Two-Year Deadline: China Moves to End Cross-Border BrokerageChina’s securities regulator penalized Futu, Tiger Brokers and
Longbridge on May 22, 2026, for unlicensed cross-border securities business,
part of an eight-agency plan to close the channel serving...