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Regulatory Solutions

Creating Regulatory Solutions

Markets are demanding. Regulations change. Products evolve. That’s where we come in. 

Clients are looking for a more integrated, holistic approach to their business and are seeking ways to reduce operational risk and increase efficiency.

As an industry leading electronic trading platform that operates regulated markets globally to more than 2,500 market participants, we understand the need for interoperability and work with other systems to provide an unsurpassed end-to-end solution. We don’t build distractions or unnecessary features, just more effective ways to trade.

 

Our U.S. Regulated Entities:

Tradeweb LLC Tradeweb Direct Dealerweb Inc. TW SEF LLC DW SEF LLC Execution Access LLC

SEC registered Broker-Dealer

Member of FINRA and MSRB

CFTC registered IB

Member of NFA

International Dealer Exemption (Ontario)

Exempt Foreign Trading Venue (Switzerland)

SEC registered Broker-Dealer

Member of FINRA and MSRB

Registered ATS

International Dealer Exemption (Ontario & Quebec)

SEC registered Broker-Dealer

Member of FINRA and MSRB

Registered ATS

CFTC registered IB

Member of NFA

Exempt Foreign Trading Venue (Switzerland)

International Dealer Exemption (Ontario)

ATS Order Exemption for Ontario, Quebec and Nova Scotia

International Dealer Exemption for Ontario, Quebec and Nova Scotia

CFTC registered SEF

Exempt Foreign Trading Venue (Switzerland)

Exempt Trading Venue (Ontario, Alberta, Quebec)

Exempt Venue (Australia)

CFTC registered SEF

Exempt Foreign Trading Venue (Switzerland)

Exempt Trading Venue (Ontario)

SEC registered Broker-Dealer

Member of FINRA

Registered ATS

International Dealer Exemption (Ontario)

Exempt Trading Venue (Ontario)

 

 

Our International Regulated Entities:

Tradeweb Europe Limited Tradeweb Europe Limited (Hong Kong Branch) Tradeweb Europe Limited (Singapore Branch) Tradeweb Japan K.K. Tradeweb EU BV Tradeweb Execution Services BV Tradeweb Execution Services Limited

Authorized and regulated by the Financial Conduct Authority (FCA) as a MiFID Investment Firm with permissions to operate a:


Offshore electronic trading platform recognized by the People's Bank of China (PBOC) for the provision of Bond Connect

Australian Market Licence granted by the Australian Securities & Investments Commission (ASIC)

Member of NFA

Regulated by the Securities & Futures Commission of Hong Kong (SFC)

  • As an Automated Trading System (ATS)

Regulated by the Monetary Authority of Singapore (MAS)

  • As a Regulated Market Operator (RMO)

Regulated by the Financial Services Agency of Japan (JFSA) and granted a Propietary Trading System (PTS) operator license and a notified Electronic Trading Platform (ETP) operator for IRS intermediary business; also a Member of Japan Securities Dealers Association (JSDA).

Authorized and regulated by the Dutch Authority for the Financial Markets (AFM) as a MiFID Investment Firm with permissions to operate:

Australian Market Licence granted by the Australian Securities & Investments Commission (ASIC)

Tradeweb EU BV Paris branch is supervised by the Autorité de contrôle prudentiel et de résolution (ACPR) to perform the activities of (a), (b) and (c) above.

Authorized and regulated by the Dutch Authority for the Financial Markets (AFM) as a MiFID Investment Firm with permissions to:

  • Execute orders on behalf of clients;
  • Deal on own account

Authorized and regulated by the Financial Conduct Authority (FCA) with permissions to:

  • Deal in investments as principal (with matched principal limitation)
  • Deal in investments as agent