# Swoopr Investment: Regulators
# Scoped content manifest for LLM agents and web crawlers.
# Generated: 2026-10-18
# 29 pages in this section.
# Root index: https://www.getswoopr.com/llms.txt

## Financial Regulatory Profiles

- [Financial Regulators Directory](https://www.getswoopr.com/regulators/) ([Markdown](https://www.getswoopr.com/regulators.md)): Directory of major financial regulators covering the US, UK, EU, and international bodies. Profiles explain each regulator's scope, enforcement powers.
- [Australia Financial Regulators](https://www.getswoopr.com/regulators/australia/) ([Markdown](https://www.getswoopr.com/regulators/australia.md)): Profiles of Australian financial regulators including ASIC. Understand ASIC's scope, how to verify a financial firm in Australia.
- [ASIC: Australian Securities Regulator](https://www.getswoopr.com/regulators/australia/asic/) ([Markdown](https://www.getswoopr.com/regulators/australia/asic.md)): ASIC is the Australian government agency that regulates financial services, companies, and markets. Learn how ASIC licences financial firms.
- [EU Financial Regulators Directory](https://www.getswoopr.com/regulators/eu/) ([Markdown](https://www.getswoopr.com/regulators/eu.md)): Profiles of EU financial regulators including ESMA and overview of the European Supervisory Authorities framework. Understand each body's scope and how EU.
- [ESMA: EU Securities Markets Regulator](https://www.getswoopr.com/regulators/eu/esma/) ([Markdown](https://www.getswoopr.com/regulators/eu/esma.md)): ESMA is the EU-level securities regulator that coordinates national regulators, sets technical standards for EU financial markets under MiFID II and EMIR.
- [India Financial Regulators](https://www.getswoopr.com/regulators/india/) ([Markdown](https://www.getswoopr.com/regulators/india.md)): Profiles of Indian financial regulators including SEBI. Understand SEBI's scope, how to verify a financial firm in India, and what investor protections apply.
- [SEBI: India Securities Regulator](https://www.getswoopr.com/regulators/india/sebi/) ([Markdown](https://www.getswoopr.com/regulators/india/sebi.md)): SEBI is India's statutory securities market regulator, overseeing stock exchanges, brokers, mutual funds, and listed companies.
- [International Financial Standards Bodies](https://www.getswoopr.com/regulators/international/) ([Markdown](https://www.getswoopr.com/regulators/international.md)): Profiles of international financial standard-setting bodies including FATF, BCBS, & IOSCO. These bodies set frameworks that national regulators adopt worldwide.
- [BCBS: Global Banking Standards Body](https://www.getswoopr.com/regulators/international/bcbs/) ([Markdown](https://www.getswoopr.com/regulators/international/bcbs.md)): The Basel Committee on Banking Supervision (BCBS) develops global prudential standards for banks, including the Basel Accords.
- [FATF: Global AML Standards Body](https://www.getswoopr.com/regulators/international/fatf/) ([Markdown](https://www.getswoopr.com/regulators/international/fatf.md)): The Financial Action Task Force (FATF) sets international standards for anti-money laundering, counter-terrorism financing.
- [IOSCO: Global Securities Standards Body](https://www.getswoopr.com/regulators/international/iosco/) ([Markdown](https://www.getswoopr.com/regulators/international/iosco.md)): IOSCO is the international body of securities regulators that develops global standards for securities markets, promotes investor protection.
- [Singapore Financial Regulators](https://www.getswoopr.com/regulators/singapore/) ([Markdown](https://www.getswoopr.com/regulators/singapore.md)): Profiles of Singapore financial regulators including MAS. Understand MAS's scope as Singapore's integrated financial regulator, investor protections.
- [MAS: Singapore Financial Regulator](https://www.getswoopr.com/regulators/singapore/mas/) ([Markdown](https://www.getswoopr.com/regulators/singapore/mas.md)): The Monetary Authority of Singapore (MAS) is Singapore's central bank and integrated financial regulator, overseeing banks, insurers, capital markets.
- [UK Financial Regulators Directory](https://www.getswoopr.com/regulators/uk/) ([Markdown](https://www.getswoopr.com/regulators/uk.md)): Profiles of UK financial regulators including the FCA and overview of the UK regulatory framework. Understand each agency's scope, investor protections.
- [FCA: UK Financial Services Regulator](https://www.getswoopr.com/regulators/uk/fca/) ([Markdown](https://www.getswoopr.com/regulators/uk/fca.md)): The Financial Conduct Authority (FCA) is the UK's primary conduct regulator for financial services, authorising over 50,000 firms and protecting consumers.
- [US Financial Regulators Directory](https://www.getswoopr.com/regulators/us/) ([Markdown](https://www.getswoopr.com/regulators/us.md)): Profiles of 13 major US financial regulators including the SEC, CFTC, FDIC, Federal Reserve, FINRA, IRS, and more. Understand each agency's scope and investor.
- [CFPB: Consumer Finance Regulator](https://www.getswoopr.com/regulators/us/cfpb/) ([Markdown](https://www.getswoopr.com/regulators/us/cfpb.md)): The CFPB enforces federal consumer financial law covering credit cards, mortgages, student loans, and debt collection.
- [CFTC: Futures and Derivatives Regulator](https://www.getswoopr.com/regulators/us/cftc/) ([Markdown](https://www.getswoopr.com/regulators/us/cftc.md)): The CFTC regulates US futures, options on futures, swaps, and commodity derivatives markets. Some digital assets including Bitcoin are treated as commodities.
- [EBSA: Retirement Plan Regulator](https://www.getswoopr.com/regulators/us/ebsa/) ([Markdown](https://www.getswoopr.com/regulators/us/ebsa.md)): EBSA enforces ERISA, protecting private-sector retirement and health benefit plans. It sets fiduciary duty standards for 401(k).
- [FDIC: Bank Deposit Insurance & Oversight](https://www.getswoopr.com/regulators/us/fdic/) ([Markdown](https://www.getswoopr.com/regulators/us/fdic.md)): The FDIC insures bank deposits up to $250,000 per depositor per institution and supervises state nonmember banks. Learn what FDIC covers, its limits.
- [Federal Reserve: Banking Regulator](https://www.getswoopr.com/regulators/us/federal-reserve/) ([Markdown](https://www.getswoopr.com/regulators/us/federal-reserve.md)): The Federal Reserve supervises bank holding companies, state-member banks, and systemically important financial institutions. It also sets Regulation T.
- [FinCEN: AML and Financial Crime Agency](https://www.getswoopr.com/regulators/us/fincen/) ([Markdown](https://www.getswoopr.com/regulators/us/fincen.md)): FinCEN administers the Bank Secrecy Act, requiring financial institutions to file Suspicious Activity Reports. It also oversees beneficial ownership reporting.
- [FINRA: Broker-Dealer Self-Regulator](https://www.getswoopr.com/regulators/us/finra/) ([Markdown](https://www.getswoopr.com/regulators/us/finra.md)): FINRA oversees US broker-dealers and registered representatives under SEC authority. Learn what FINRA regulates, how BrokerCheck works.
- [IRS: Tax Authority for US Investors](https://www.getswoopr.com/regulators/us/irs/) ([Markdown](https://www.getswoopr.com/regulators/us/irs.md)): The IRS administers federal tax law for investors, covering capital gains, dividends, retirement accounts, and crypto.
- [NCUA: Credit Union Regulator](https://www.getswoopr.com/regulators/us/ncua/) ([Markdown](https://www.getswoopr.com/regulators/us/ncua.md)): The NCUA charters and supervises federal credit unions and administers the NCUSIF, which insures member deposits up to $250,000 per member per account category.
- [NFA: Self-Regulatory Org for Derivatives](https://www.getswoopr.com/regulators/us/nfa/) ([Markdown](https://www.getswoopr.com/regulators/us/nfa.md)): The NFA is the self-regulatory organization for the US derivatives industry, registering futures brokers, forex dealers.
- [OCC: National Bank Regulator](https://www.getswoopr.com/regulators/us/occ/) ([Markdown](https://www.getswoopr.com/regulators/us/occ.md)): The OCC charters, regulates, and supervises national banks, federal savings associations, and federal branches of foreign banks operating in the US.
- [SEC: US Securities Market Regulator](https://www.getswoopr.com/regulators/us/sec/) ([Markdown](https://www.getswoopr.com/regulators/us/sec.md)): The SEC is the primary US federal regulator of securities markets, overseeing public company disclosures, broker-dealers, investment advisers, mutual funds.
- [SIPC: Brokerage Account Protection](https://www.getswoopr.com/regulators/us/sipc/) ([Markdown](https://www.getswoopr.com/regulators/us/sipc.md)): SIPC protects customers of failed SIPC-member brokerage firms up to $500,000 per account. Learn what SIPC covers, what it does not cover.