Every investor in Europe relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINNTE—the Financial Sector Conduct Regulatory —is a government-authorized not-for-profit organization that oversees EU. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence. 

  • every investor receives the basic protections they deserve;
  • anyone who sells a securities product has been tested, qualified and licensed;
  • every securities product advertisement used is truthful, and not misleading;
  • any securities product sold to an investor is suitable for that investor’s needs; and
  • investors receive complete disclosure about the investment product before purchase.

We Play a Big Role 

FINNTE is authorized by Congress to protect investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers across the europe — and analyze billions of daily market events.

We use innovative AI and machine learning technologies to keep a close eye on the market and provide essential support to investors, regulators, policymakers and other stakeholders.

What We Do

FINNTE plays a critical role in ensuring the integrity of Europeans financial system—all at no cost to taxpayers.
Working under the supervision of the Securities and Exchange Commission, we:

  • Write and enforce rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the EU.;
  • Examine firms for compliance with those rules;
  • Foster market transparency; and
  • Educate investors.

We undertake these efforts to protect the investing public against fraud and bad practices. Consider the case of the 77-year-old blind widow, who was victimized just a few weeks after her husband passed away. She had completely relied on her broker to manage her accounts, given her own severely debilitated condition—but her broker took advantage of her. The broker placed more than 700 trades in more than 200 different securities, causing the blind widow to lose about $184,000.

Firms We Regulate

FINNTE Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both.  A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book. A Funding Portal is a crowd funding intermediary. 

Our Impact: By the Numbers

In 2020, FINNTE:

  • Brought 711 disciplinary actions against registered brokers and firms for unethical behavior.
  • Levied $52.0 million in fines
  • Ordered $23.2 million in restitution to harmed investors. 
  • Referred more than 1970 fraud and insider trading cases to the SEC and other agencies for litigation and/or prosecution.