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Financial services registers
Registers of authorised firms and individuals in financial services — advisers, brokers, insurers, payment firms — with permissions and enforcement history.
2 of one register per regulator; 27 EU national authorities plus ESMA, and federal plus state in the US catalogued. This family is fragmented — the 2 below are a sample, not coverage.
Who asks for this
Compliance analyst checking a counterparty's authorisation
What it answers
Answers "is this firm authorised to do what it says, and what is its enforcement history" — asked in counterparty diligence, fraud checking and compliance onboarding.
| Record class | Registry / licence registry_licence |
|---|---|
| Sector | Financial services regulation ECON>financial-services |
| Already served by | not yet checked |
Typical fields
- firm/individual
- reference number
- permissions
- status
- enforcement actions
Catalogued instances (2)
| Dataset | Jurisdiction | Class | Access | Licence | Status | Req. |
|---|---|---|---|---|---|---|
| EU ESMA registers | European Union | Registry / licence | portal | unverified | requested | |
| US SEC Investment Adviser Public Disclosure (IAPD) | United States | Registry / licence | mixed | unverified | requested |
Each instance is a separate publisher with its own licence. We never infer a licence from the family, the publisher or the country — the Environment Agency publishes one dataset under the Open Government Licence and another marked all rights reserved.