SRO member search

Here you can search for financial intermediaries that are members of a self-regulatory organisation ( SRO ). You will also find here the SROs responsible for supervising these financial intermediaries. Please address any reports and complaints concerning a financial intermediary affiliated to an SRO directly to the SRO responsible.

This SFMA page gives applicants and supervised institutions a practical view of the sro member search topic. It explains when a licence, approval, notification or registration may be needed, what information should be prepared, and which changes may require contact with the authority.

Instructions

This section explains how instructions affects the sro member search authorisation or registration topic. The relevant facts should be documented in a way that allows SFMA to understand the legal basis, operating responsibilities and supervisory implications.

Preparing a complete file

Applicants should keep the submission concise but complete: describe the activity, legal structure, people responsible, control framework, financial resources, relevant documents and any cross-border elements. Where uncertainty remains, the issue should be highlighted early rather than left to emerge during review.