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
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)	CFTC registered SEF Exempt Foreign Trading Venue (Switzerland) Exempt Trading Venue (Ontario, Alberta, Quebec) Exempt Venue [Application for Overseas Market License pending] (Australia)	CFTC registered SEF Exempt Foreign Trading Venue (Switzerland) 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
Authorized and regulated by the Financial Conduct Authority (FCA) as a MiFID Investment Firm with permissions to operate a: Multilateral Trading Facility (MTF) Organised Trading Facility (OTF) Approved Publication Arrangement (APA) Offshore electronic trading platform recognized by the People's Bank of China (PBOC) for the provision of Bond Connect Exemption from registration with the Australian Securities & Investments Commission (ASIC) Member of NFA Tradeweb EU BV	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 a: Multilateral Trading Facility (MTF) Organised Trading Facility (OTF) Approved Publication Arrangement (APA)