License types
Kamfanoni na zuba jari
Brokerage, da'awar, gudanarwa da shawarwari a karkashin doka ta saka hannun jari. An kwatanta a kan 61 tsarin mulki. Figures ne dokokin mafi ƙaranci daga kowane mai kula; ainihin bukatun jarin suna da yawa.
| Jurisdiction | Lasisi | Minimum capital | Layin lokaci | Risk |
|---|---|---|---|---|
| Austria Europe (EU) | Lissafin kamfanin zuba jari (Wertpapierfirma); lasisin da aka sauƙaƙe don wani Wertpapierdienstleistungsunternehmen a ƙarƙashin MiFID II Art. 3 exemption FMA | EUR 75,000 | FMA ta sanar da mai neman a cikin watanni shida na aikace-aikacen cikakke (WAG 2018 s. 3) | Standard |
| Belgium Europe (EU) | NBB (stockbroking firms, after FSMA advice); FSMA (portfolio management and investment advice companies) | EUR 75,000 | MiFID II art. 7(3): shawara cikin watanni 6 na shigar da takardar | Standard |
| Cyprus Europe (EU) | CySEC | EUR 75,000 | MiFID II art. 7(3): hukunci cikin watanni shida na shigar da takardar | Standard |
| Estonia Europe (EU) | Finantsinspektsioon | EUR 75,000 | Mataki a cikin watanni 2 na duk bayanan da ake buƙata da takardu, kuma ba da daɗewa ba bayan watanni 6 bayan shigar da shi | Standard |
| France Europe (EU) | Agrément a matsayin kamfani na zuba jari (entreprise d'investissement) ACPR, tare da AMF mai duba shirin ayyukan don sabis na saka hannun jari masu sha'awa | EUR 75,000 | 6 watanni daga wani cikakke fayil; 4 watanni ga wani tsawo na ayyuka (ACPR) | Standard |
| Germany Europe (EU) | Investment firm licence (Wertpapierinstitut) BaFin | EUR 75,000 | Ba'a wallafa ba | Standard |
| Ireland Europe (EU) | Bankin Cibiyar na Ingila | EUR 75,000 | A cikin watanni 6 na karɓar takardar neman izinin | Standard |
| Italy Europe (EU) | (SIM)MiFID II CONSOB bayan tattaunawa da Banca d'Italia | EUR 75,000 | CONSOB ta yanke hukunci cikin watanni 6 na gabatar da takardar neman (TUF art. 19(1)) | Standard |
| Lithuania Europe (EU) | Bankin Najeriya | EUR 75,000 | MiFID II art. 7(3): shawara cikin watanni 6 na shigar da takardar | Standard |
| Luxembourg Europe (EU) | (MiFID II) CSSF | EUR 75,000 | An sanar da hukunci a cikin watanni 6 na shigarwa mai cike; lokacin ƙarshe watanni 12, rashin magana ya daidaita da ƙi | Standard |
| Malta Europe (EU) | MFSA | EUR 75,000 | MiFID II art. 7(3): hukunci cikin watanni shida na shigar da takardar | Standard |
| Netherlands Europe (EU) | ƘaraMiFID II) AFM (hadin gwiwa da DNB) | EUR 75,000 | Ba'a wallafa ba | Standard |
| Poland Europe (EU) | KNF | EUR 150,000 | MiFID II art. 7(3): shawara cikin watanni 6 na shigarwa; ba a tabbatar da lokacin ƙarshe na Poland-specific ba | Standard |
| Portugal Europe (EU) | MiFID II CMVM (takardar rajista na ma'aikatar kudi); ba a tabbatar da yanke shawara kan izinin ba | EUR 75,000 | Ba'a wallafa ba | Standard |
| Spain Europe (EU) | CNMV | EUR 75,000 | Mataki a cikin watanni 6 na karɓar ko kammala fayil; za'a iya daukar rashin magana da yaƙin ciki a matsayin ƙi (Dokar 6/2023 art. 131(1)) | Standard |
| Gibraltar Europe (non-EU) | Kamfani na zuba jari (Sashe 7 izinin) GFSC | GBP 75,000 | Ba'a wallafa ba | Standard |
| Guernsey Europe (non-EU) | GFSC | Not published | Ba'a wallafa ba | Standard |
| Isle of Man Europe (non-EU) | Class 2 investment business license IOMFSA | Not published | IOMFSA sabis standard na watanni 6 daga wani cikakke shiri na ayuka; mafi tsawo idan ba'a cika ko matsalolin sun zo | Standard |
| Jersey Europe (non-EU) | JFSC | Not published | Ba'a wallafa ba | Standard |
| Liechtenstein Europe (non-EU) | FMA Liechtenstein | EUR 75,000 | FMA na yanke shawara a cikin watanni shida bayan karɓar aikace-aikacen (WPFG Art. 6(5)). | Standard |
| Monaco Europe (non-EU) | CCAF agrément ga ayyukan kudi (tattara bayanai, shawarwari, karɓar da isar da umarni, kulawa, ofishin iyali mai yawa) CCAF | EUR 150,000 | Kwamitin zai yanke hukunci cikin watanni 6 na karɓar fayil mai cikakke | Risk mai girma |
| Switzerland Europe (non-EU) | FINMA | CHF 1,500,000 | Ba'a wallafa ba | Standard |
| United Kingdom Europe (non-EU) | Kamfani na zuba jari MiFID (Sashe 4A izinin) FCA | GBP 75,000 | FSMA Sashe 4A daki-daki: 6 watanni daga wani cikakke aikace-aikace, 12 watanni daga wani ba a cika (kamar yadda aka bayyana ga aikace-aikacen banki ta Bankin Ingilishi) | Standard |
| Bahrain Middle East | Lasisi na kamfani mai zuba jari (Kategori 1 zuwa 4) Bankin Cibiyar | BHD 25,000 | Ba'a wallafa ba | Standard |
| Qatar (QFC) Middle East | QFC Regulatory Authority | QAR 7,000,000 | Ba'a wallafa ba | Standard |
| Qatar (QFC) Middle East | QFC izinin a matsayin wani INMA kamfanin (aiki na zuba jari, shawarwari, shiryawa, tsare, hukumar daki) QFC Regulatory Authority | QAR 900,000 | Ba'a wallafa ba | Standard |
| United Arab Emirates (onshore) Middle East | Capital Market Authority (formerly SCA) | Not published | Ba'a wallafa ba | Standard |
| United Arab Emirates: Abu Dhabi Global Market (ADGM) Middle East | Ma’aikatar Harkokin Kudi ta ba da izinin gudanar da kasuwancin zuba jari a matsayin mai saka hannun jari ko mai bayar da bashi (Kategori na 2) FSRA | USD 2,000,000 | Ba'a wallafa ba | Standard |
| United Arab Emirates: Abu Dhabi Global Market (ADGM) Middle East | Ma’aikatar Harkokin Kudi ta ba da izinin gudanar da kasuwancin zuba jari a matsayin mai wakilci ko kuma a matsayin mai kulawa (Kategori 3A) FSRA | USD 500,000 | Ba'a wallafa ba | Standard |
| United Arab Emirates: Abu Dhabi Global Market (ADGM) Middle East | Ma'aikatar Harkokin Kudi ta ba da izinin gudanar da dukiyar jama'a ko kuma gudanar da wani asusun zuba jari na jama'a (Kategori 3C) FSRA | USD 250,000 | Ba'a wallafa ba | Standard |
| United Arab Emirates: Dubai International Financial Centre (DIFC) Middle East | Lasisi na gudanar da kasuwancin zuba jari a matsayin mai saka hannun jari ko mai bayar da bashi (Kategori 2) DFSA | USD 2,000,000 | Ba'a wallafa ba | Standard |
| United Arab Emirates: Dubai International Financial Centre (DIFC) Middle East | Lasisi na gudanar da kasuwancin zuba jari a matsayin mai ba da shawara ko kuma gudanar da tsarin ciniki na daban (Kategori 3A) DFSA | USD 200,000 | Ba'a wallafa ba | Standard |
| United Arab Emirates: Dubai International Financial Centre (DIFC) Middle East | Lasisi na kula da dukiyoyin ko kuma kula da wani asusun saka hannun jari na jama'a (Kategori 3C) DFSA | USD 140,000 | Ba'a wallafa ba | Standard |
| Australia Asia-Pacific | ASIC | AUD 50,000 | Ba'a wallafa ba | Standard |
| Hong Kong Asia-Pacific | SFC lasisin aiki na nau'i 1 (dabarun kasuwanci a cikin takardun shaida) SFC | HKD 5,000,000 | SFC ya nuna game da makonni 15 ga shirin ayuka na kamfani mai lasisi | Standard |
| Japan Asia-Pacific | FSA (ta hanyar ofishin kudi na yankin) | JPY 50,000,000 | Ba'a wallafa ba | Standard |
| Labuan (Malaysia) Asia-Pacific | Labuan FSA | MYR 150,000 | Ba'a wallafa ba | Standard |
| New Zealand Asia-Pacific | FMA market services license: discretionary investment management service (DIMS) and managed investment scheme manager FMA | Not published | Ba'a wallafa ba | Standard |
| Philippines Asia-Pacific | SEC | Not published | Ba'a wallafa ba | Standard |
| Singapore Asia-Pacific | MAS | SGD 50,000 | MAS yana tsammanin har zuwa watanni 6 don duba wani shirin ayuka na cikakke; masu riƙe da IPA sai suna da har zuwa watanni 6 domin su cika sharuɗɗan | Standard |
| Korea ta Kudu Asia-Pacific | FSC | Not published | Ba'a wallafa ba | Standard |
| Antigua and Barbuda Americas & Caribbean | Broker-dealer, custodian or investment adviser license (ECSRC) Eastern Caribbean Securities Regulatory Commission | Not published | Ba'a wallafa ba | Standard |
| Argentina Americas & Caribbean | Shigar da aikace-aikacen Kwamitin Tsaro | Not published | Ba'a wallafa ba | Standard |
| Bahamas Americas & Caribbean | Shigar da wani kamfani na saka hannun jari (sayarwa, shiryawa, gudanarwa, shawara; sayar da CFD) Securities Commission of The Bahamas | Not published | Ba'a wallafa ba | Standard |
| Barbados Americas & Caribbean | Shigar da takardar shaidar zama mai ba da shawara, mai sayar da kaya, mai ba da shawara kan zuba jari, mai kasuwanci, mai sanya hannu ko kuma kamfani na saka hannun jari Financial Services Commission | Not published | Ba'a wallafa ba | Standard |
| Bermuda Americas & Caribbean | Bermuda Monetary Authority | Not published | Ba'a wallafa ba | Standard |
| Bolivia Americas & Caribbean | Autorización e inscripción como Agencia de Bolsa (securities broker-dealer) Autoridad de Supervisión del Sistema Financiero | Not published | Ba'a wallafa ba | Risk mai girma |
| Brazil Americas & Caribbean | Banco Central do Brasil (authorisation); Comissão de Valores Mobiliários (conduct rules for intermediaries) | BRL 8,000,000 | Ba'a wallafa ba | Standard |
| British Virgin Islands Americas & Caribbean | Kwamitin Ayyuka na Kudi | Not published | Ba'a wallafa ba | Risk mai girma |
| Canada Americas & Caribbean | Ma’aikatar Shari’a ta Jihar Kano da kuma Hukumar Kula da Harkokin Kasuwanci ta Jihar Kano; masu sayar da hannayen jari da masu sayar da kudaden zuba jari dole ne su kasance mambobin CIRO | CAD 25,000 | Ba'a wallafa ba | Standard |
| Cayman Islands Americas & Caribbean | Cayman Islands Monetary Authority | KYD 100,000 | Ba'a wallafa ba | Standard |
| Chile Americas & Caribbean | Ayyukan Ley Fintec: dandalin tallafawa jama'a, tsarin kasuwancin musanya, shirya umarni, shawarwarin zuba jari da shawarwari na bashi Comisión para el Mercado Financiero | Not published | Mataki na rajista cikin kwanakin aiki 30 (sashe na 6); izinin sabis a cikin watanni shida (sashe na 7) | Standard |
| Chile Americas & Caribbean | Shirin rajista na mai saka hannun jari Ma'aikatar Kudi | CLF 6,000 | CMF ta tanadi dokoki game da rajistar cikin kwanaki 30 na shigar da shi; a lokacin da CMF ke neman karin bayani, agogon ya tsaya (aikace 28) | Standard |
| Curaçao Americas & Caribbean | Ma'aikaci mai kula da saka hannun jari da/ko manajan dukiya (effectenbemiddelaar / vermogensbeheerder) St. Maarten | Not published | CBCS na yanke hukunci a cikin kwanaki 60 na kammala aikace-aikacen | Standard |
| Dominica Americas & Caribbean | Broker-dealer, limited service broker, investment advisor and custodian licenses Eastern Caribbean Securities Regulatory Commission | Not published | Ba'a wallafa ba | Standard |
| Mexico Americas & Caribbean | Institución de financiamiento colectivo (IFC, cibiyar tallafawa jama'a) Comisión Nacional Bancaria y de Valores, tare da amincewar Comité Interinstitucional | MXV 500,000 | Mataki a cikin kwanaki 180 inda Comité Interinstitucional ya kamata ya yarda (Ley Fintech art. 6) | Standard |
| Mexico Americas & Caribbean | Authorisation to organize and operate as a securities broker-dealer Hukumar Kula da Harkokin Banki ta Kasa | MXV 3,000,000 | Ba'a wallafa ba | Standard |
| Panama Americas & Caribbean | Superintendencia del Mercado de Valores | Not published | Ba'a wallafa ba | Standard |
| Mauritius Africa | Financial Services Commission | Not published | Ba'a wallafa ba | Standard |
| Seychelles Africa | Ma’aikatar Harkokin Kudi | USD 50,000 | Ba'a wallafa ba | Standard |
| Afurka ta Kudu Afrika | Financial Sector Conduct Authority | Not published | Ba'a wallafa ba | Standard |
An lissafa tushe a kan kowace fuska na doka. Bayani kawai, ba shawara ta doka ba.