Pôle Thématique · 1 Notes Publiées

Regulatory Benchmarks

Regulatory Benchmarks research topics and source records from ETFYield Lab. Comprehensive 2026 empirical benchmark covering 118 institutions and 64 competent authorities tracked by ETFYield Lab, detailing 6D compliance scores, contracting legal entities, and direct register verification.

Points Clés Institutionnels — Regulatory Benchmarks

ETFYield Lab tracks 118 institutions and 64 supervisory authorities across Fixed-Income, Treasury Yield & ETF Custodial Platforms, with sampled constituents averaging 4.83/10 on the 6D Compliance Index.
Top-ranked benchmark constituents (led by IB at 8.0/10) maintain verifiable primary filings and clean enforcement records.
The 6D Quantitative Model weights Licence Standing (30%) and Risk Telemetry (25%) at 55% combined, applying immediate hard caps whenever an official regulator warning is recorded.
Counterparties must verify the exact contracting subsidiary and approved domain rather than relying solely on group-level brand recognition.
All 118 institutional profiles are cross-linked to primary regulator lookup portals, CC-BY-4.0 open datasets, and real-time REST/MCP verification endpoints.

Notes de Recherche du Pôle — Regulatory Benchmarks (1)

2026-11-05Claire Devon, CFA, CIPM

Fixed-Income, Treasury Yield & ETF Custodial Platforms 2026 Licensing Benchmark: 6D Prudential Scorecard Across 118 Audited Entities

Comprehensive 2026 empirical benchmark covering 118 institutions and 64 competent authorities tracked by ETFYield Lab, detailing 6D compliance scores, contracting legal entities, and direct register verification.

Lire la Note →3 Sources Officielles

Dossiers des Courtiers & Institutions Régulées

Classements Quantitatifs →Tous les Courtiers →

TradeZero →

4 Licences

IB →

5 Licences

U Trade →

2 Licences

Yuanta →

2 Licences

XNT LTD →

3 Licences

50K trade →

1 Licences

Autorités de Supervision & Cadres de Licence

Tous les Régulateurs →

Financial Conduct Authority (UK) — Financial Conduct Authority (UK)U.S. Securities and Exchange Commission — U.S. Securities and Exchange Commission Securities Investor Protection Corporation (U.S.) — Securities Investor Protection Corporation (U.S.)Lao Securities Commission — Lao Securities Commission AMMC — Moroccan Capital Market Authority ASC — Alberta Securities Commission

ETF expense ratio calculator →

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Bond yield & duration calculator →

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Dividend reinvestment calculator →

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Questions Fréquentes (FAQ) — Regulatory Benchmarks

How many regulated institutions does ETFYield Lab audit in its 2026 Fixed-Income, Treasury Yield & ETF Custodial Platforms benchmark?

ETFYield Lab currently audits 118 English-verified financial institutions across 64 competent supervisory authorities within its Fixed-Income, Treasury Yield & ETF Custodial Platforms coverage slice.

How is the 6D Compliance Score calculated on ETFYield Lab?

The 6D model combines Licence Standing (30%), Risk Telemetry (25%), Institutional Scale (15%), Industry Footprint (15%), and Execution & User Signals (15%) on a 0.0–10.0 scale, as documented at /methodology.

Why can two clients of the same financial brand receive different regulatory protections?

Global brokerage and exchange groups frequently operate multiple legal subsidiaries across Tier-1 onshore regimes and offshore jurisdictions. Investor compensation, leverage limits, and client-money segregation depend strictly on the specific legal entity named in your onboarding contract.

Where can I verify an institution's licence number directly against official government records?

Every institution dossier and regulator profile on ETFYield Lab links directly to the issuing authority's official public register (such as FCA FRN Register, SEC EDGAR, FINRA BrokerCheck, NFA BASIC, MAS FID, or FinCEN MSB Search).

Can AI agents and compliance scripts query ETFYield Lab's benchmark data programmatically?

Yes. ETFYield Lab provides public REST endpoints (/api/v1/verify/license, /api/v1/verify/domain, /api/v1/brokers/{slug}), an OpenAPI 3.1 specification (/.well-known/openapi.json), and a JSON-RPC 2.0 MCP server (/api/mcp).

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