USA, UK, Canada,Mexico, Brazil, Spain, Germany… all have something in common when it comes to the stock market and the trading of assets:, the regulators.
These regulators are not inquisition entities, but rather organizations that ensure our financial health and compliance with rules. Below, we will list the main regulators worldwide by region.
Every country or stock market has its own regulator, in these post we are going to list there regulators split by country and a resume of the the functions they must carry out.
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Stock markets regulators split by country:
Regulator with international duties
- International Organization of Securities Comissions (IOSCO/IOCV)
- European Securities and Markets Authority (ESMA)
- European Systemic Risk Board (ESRB)
- European Banking Authority (EBA)
- European Insurance and Occupational Pensions Authority (EIOPA)
European regulators
- Germany: Bundesanstalt fur Finanzdienstleistungsaufsicht (BAFIN)
- Austria: Finanzmarktaufsicht (FMA)
- Belgium: Autorité des Services et Marchés Financiers
- Bulgaria: Financial Supervision Commission
- Croatia: Financial Services Supervisory Agency (HANFA)
- Cyprus: Cyprus Securities and Exchange Commission
- Denmark: Danish Financial Supervisory Authority
- Slovenia: Agencija za trg vrednostnih papirjev (ATVP)
- Spain: Comisión Nacional del Mercado de Valores (CNMV)
- Estonia: Finantsinspektsioon
- Finland: Finanssilvalvonta Finansinspektionen
- France: Autorité des marchés financiers (AMF)
- Greece: Capital Market Commission (CMC)
- Holland: Autoriteit Financiële Markten (AFM)
- Hungary Magyar Nemezeti Bank
- Ireland: Central Bank of Ireland
- Iceland: Financial Supervisory Authority
- Italy: Commissione Nazionale per le Societa e la Borsa (CONSOB)
- Letonia: Finansu un kapitala tirgus komisija
- Liechtenstein: Finanzmarktaufsicht
- Lithuania: Lietuvos Bankas
- Luxembourg: Commission de Surveillance du Secteur Financier (CSSF)
- Malta: Malta Financial Services Authority (MFSA)
- Norway: Finanstilsynet
- Poland: Komisja Nadzoru Finansowego (KNF)
- Portugal: Comissäo do Mercado de Valores Mobiliarios (CMVM)
- Czech Republic: Ceska Narodni Banka (CNB)
- Slovack Republic: Národná Banka Slovenska
- United Kingdom: The Financial Conduct Authority (FCA)
- Romania: Autoritatea de Supraveghere Financiara (ASF)
- Sweden: Finansinspektionen
America stock markets regulators
USA
- U.S. Securities and Exchange Commission (SEC)
- U.S. Commodities and Futures Trading Commission (CFTC)
Canada
Latin America
- Argentina: Comisión Nacional de Valores (CNV)
- Bolivia: Autoridad de Supervisión del Sistema Financiero (ASFI)
- Brazil: Comissao de Valores Mobiliarios (CVM)
- Chile: Comisión para el Mercado Financiero (CMF)
- Colombia: Superintendencia Financiera (SFC)
- Costa Rica: Consejo Nacional de Supervisión del Sistema Financiero (CONASSIF)
- Ecuador: Superintendencia de Compañías (SC)
- El Salvador: Superintendencia del Sistema Financiero
- Guatemala: Registro del Mercado de Valores y Mercancías (RMVM)
- Honduras: Comisión Nacional de Bancos y Seguros (CNBS)
- Mexico: Comisión Nacional Bancaria y de Valores (CNBV)
- Nicaragua: Superintendencia de Bancos y Otras Instituciones Financieras
- Panama: Superintendencia del Mercado de Valores (SMV)
- Paraguay: Comisión Nacional de Valores
- Peru: Superintendencia del Mercado de Valores (SMV)
- Dominican Republic: Superintendencia del Mercado de Valores (SIV)
- Uruguay: Banco Central de Uruguay
- Venezuela: Superintendencia Nacional de Valores
Asia y Oceania stock markets regulators
- Australia: Australian Securities Investments Commission (ASIC)
- China: China Securities Regulatory Commission
- Hong Kong: Securities and Futures Commission (SFC)
- Japan: Financial Services Agency (FSA)
Othe stock markets regultors
Source of information the Spanish CNMV
The functions of stock market regulators
The functions of stock market regulators include:
- Supervision and oversight: Regulators monitor and supervise the activities of stock markets to ensure fair and transparent trading practices. They enforce compliance with regulations and investigate any potential violations.
- Investor protection: Regulators aim to protect the interests of investors by promoting a safe and secure trading environment. They establish rules and regulations to prevent fraud, insider trading, market manipulation, and other forms of misconduct.
- Licensing and registration: Regulators are responsible for licensing and registering market participants, such as brokerage firms, investment advisors, and fund managers. They set qualification requirements and conduct background checks to ensure the integrity and competency of market participants.
- Rulemaking and enforcement: Regulators develop and implement rules and regulations that govern the operations of stock markets. They have the authority to enforce compliance and take disciplinary actions against those who violate the rules.
- Market surveillance: Regulators employ sophisticated surveillance systems to monitor trading activities and detect any irregularities or suspicious transactions. They investigate market abuses, such as insider trading or market manipulation, and take appropriate actions to maintain market integrity.
- Disclosure and transparency: Regulators require companies listed on the stock market to disclose relevant financial and non-financial information to ensure transparency. They oversee the timely and accurate dissemination of information to investors, which helps them make informed investment decisions.
- Market development: Regulators play a role in fostering the growth and development of the stock market. They may introduce initiatives to attract new listings, enhance market liquidity, and encourage investor participation. They also collaborate with other stakeholders to promote market efficiency and innovation.
- Education and awareness: Regulators provide educational resources and promote investor awareness programs to enhance financial literacy and empower investors with the knowledge to make informed decisions. They aim to educate the public about the risks and benefits of investing in the stock market.
These functions are essential for maintaining the integrity, stability, and fairness of stock markets, and they vary slightly from one country to another based on local regulations and market conditions.
