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 LLC | Dealerweb Inc. | TW SEF LLC | DW SEF LLC |
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SEC registered Broker-Dealer Member of FINRA and MSRB Member of NFA International Dealer Exemption (Ontario, Alberta, British Columbia, Manitoba, New Brunswick, Nova Scotia, Quebec, Saskatchewan) Exempt Foreign Trading Venue (Switzerland) Recognized by People’s Bank of China and the China Foreign Exchange Trading System as an operator of one of the access platforms which enable overseas investors to invest in mainland Chinese bonds/swaps via various connection schemes such as the Bond Connect, CIBM Direct RFQ and Swap Connect Bond. |
SEC registered Broker-Dealer Registered ATS International Dealer Exemption (Ontario & Quebec) Recognized Body of the Dubai Financial Services Authority |
SEC registered Broker-Dealer Registered ATS CFTC registered IB Member of NFA Exempt Foreign Trading Venue (Switzerland) International Dealer Exemption (Ontario, Quebec, and Nova Scotia) Recognized Body of the Dubai Financial Services Authority |
CFTC registered SEF Exempt Trading Venue ( Alberta, Nova Scotia, Ontario, Quebec) Exempt Venue (Australia) Recognized Foreign Trading Venue (Mexico) |
CFTC registered SEF Exempt Trading Venue (Nova Scotia, Ontario, Quebec) |
Our International Regulated Entities:
| Tradeweb Europe Limited | Tradeweb Europe Limited (Hong Kong Branch) | Tradeweb Europe Limited (Singapore Branch) | Tradeweb Japan K.K. |
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Authorized and regulated by the Financial Conduct Authority (FCA) as a MiFID Investment Firm with permissions to operate a:
Recognized by People’s Bank of China and the China Foreign Exchange Trading System as an operator of one of the access platforms which enable overseas investors to invest in mainland Chinese bonds/swaps via various connection schemes such as the Bond Connect, CIBM Direct RFQ and Swap Connect Bond. |
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) Recognized by People’s Bank of China and the China Foreign Exchange Trading System as an operator of one of the access platforms which enable overseas investors to invest in mainland Chinese bonds/swaps via various connection schemes such as the Bond Connect, CIBM Direct RFQ and Swap Connect Bond. |
| Tradeweb EU BV | Tradeweb Execution Services BV | Tradeweb Execution Services Limited | Tradeweb Australia Pty Ltd |
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Authorized and regulated by the Dutch Authority for the Financial Markets (AFM) as a MiFID Investment Firm with permissions to operate: Overseas 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 above Regulated by the European Securities and Markets Authority (ESMA) to operate an Approved Publication Arrangement (APA) Recognized by People’s Bank of China and the China Foreign Exchange Trading System as an operator of one of the access platforms which enable overseas investors to invest in mainland Chinese bonds/swaps via various connection schemes such as the Bond Connect, CIBM Direct RFQ and Swap Connect Bond. |
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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Regulated by the Australian Securities & Investments Commission (ASIC) and holder of a Tier 1 Australian Market Licence Regulated by the Monetary Authority of Singapore (MAS) as a Recognised Market Operator (RMO) Continues to hold QALM status under CFTC No Action Letter 15-29’ |
