Regulatory Solutions
Our U.S. Regulated Entities:
| Tradeweb LLC | Tradeweb Direct | Dealerweb Inc. | TW SEF LLC | DW SEF LLC | DA FS LLC |
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SEC registered Broker-Dealer Member of FINRA and MSRB Member of NFA International Dealer Exemption (Ontario) Exempt Foreign Trading Venue (Switzerland) International Dealer Exemption (Ontario, Alberta, British Columbia, Manitoba, New Brunswick, Nova Scotia, Quebec, Saskatchewan) 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). ( Alberta,&' British Columbia, Manitoba, New Brunswick, Nova Scotia, Quebec, Saskatchewan) Authorized and regulated by the Financial Conduct Authority (FCA) as a MiFID Investment Firm with permissions to operate a: |
SEC registered Broker-Dealer Registered ATS International Dealer Exemption (Ontario & Quebec) ( Alberta, British Columbia, Manitoba, New Brunswick, Nova Scotia, Quebec, Saskatchewan) |
SEC registered Broker-Dealer Registered ATS CFTC registered IB Member of NFA Exempt Foreign Trading Venue (Switzerland) International Dealer Exemption (Ontario) International Dealer Exemption (Ontario, Quebec, and Nova Scotia) International Dealer Exemption (Ontario, Alberta, British Columbia, Manitoba, New Brunswick, Nova Scotia, Quebec, Saskatchewan) ( Alberta, British Columbia, Manitoba, New Brunswick, Nova Scotia, Quebec, Saskatchewan) |
CFTC registered SEF Exempt Trading Venue (Ontario, Alberta, Quebec) Exempt Venue (Australia) Recognized Foreign Trading Venue (Mexico) |
CFTC registered SEF Exempt Trading Venue (Ontario) |
ETC registered SEF Exempt Trading Venue (Ontario) International Dealer Exemption (Ontario, Alberta, British Columbia, Manitoba, New Brunswick, Nova Scotia, Quebec, Saskatchewan) 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). ( Alberta,&' British Columbia, Manitoba, New Brunswick, Nova Scotia, Quebec, Saskatchewan) ( Alberta,&' British Columbia, Manitoba, New Brunswick, Nova Scotia, Quebec, Saskatchewan, Alberta,&' British Columbia, Manitoba, New Brunswick, Nova Scotia, Quebec, Saskatchewan) Authorized and regulated by the Financial Conduct Authority (FCA) as a MiFID Investment Firm with permissions to operate a: |
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 |
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Authorized and regulated by the Financial Conduct Authority (FCA) as a MiFID Investment Firm with permissions to operate a:
Member of NFA |
Regulated by the Securities & Futures Commission of Hong Kong (SFC)
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Regulated by the Monetary Authority of Singapore (MAS)
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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:
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Authorized and regulated by the Financial Conduct Authority (FCA) with permissions to:
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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 |
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Authorized and regulated by the Financial Conduct Authority (FCA) as a MiFID Investment Firm with permissions to operate a:
Member of NFA |
Regulated by the Securities & Futures Commission of Hong Kong (SFC)
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Regulated by the Monetary Authority of Singapore (MAS)
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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:
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Authorized and regulated by the Financial Conduct Authority (FCA) with permissions to:
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