WHO REGULATES WHICH TYPE OF ENTITY
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Given below is a list of types of intermediaries/service providers in the financial market. The names of the relevant regulatory bodies are given in the second column. |
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| ENTITY | REGULATOR |
| AUDITORS | ICAI/CAG |
| BANKS | RBI |
| BANKS - ISSUE COLLECTION | SEBI |
| CHIT FUNDS | REGISTRAR OF CHIT FUNDS |
| COMPANIES - ALL | MCA/ROC |
| COMPANIES - LISTED | MCA/ROC/SEBI/SE |
| COMPANY SECRETARIES | ICSI |
| CO-OPERATIVE BANKS | RBI |
| COST ACCOUNTANTS | ICWAI |
| CREDIT RATING AGENCIES | SEBI |
| CUSTODIAL SERVICES | SEBI |
| DEBENTURE TRUSTEES | SEBI |
| DEPOSITORIES | SEBI |
| DEPOSITORY PARTICIPANTS | SEBI |
| FINANCIAL & INVESTMENT CONSULTANTS | - |
| FOREIGN BROKERS | SEBI |
| FOREIGN DEBT FUNDS | SEBI |
| FOREIGN INVESTMENT INSTITUTIONS | SEBI |
| HOUSING FINANCE COMPANIES | NHB |
| INSURANCE BROKERS/ AGENTS | IRDA |
| INSURANCE COMPANIES | IRDA |
| INVESTMENT BANKERS | SEBI |
| INVESTOR ASSOCIATIONS | SEBI |
| MUTUAL FUND BROKERS/ AGENTS | AMFI/SEBI |
| MUTUAL FUNDS & ASSET MANAGEMENT COMPANIES | SEBI |
| NBFCs | RBI |
| NEW PENSION SCHEME | PFRDA |
| NEWSPAPERS & MAGAZINES | PCI |
| NIDHI COMPANIES | MCA |
| PLANTATION COMPANIES | SEBI |
| PORTFOLIO MANAGERS | SEBI |
| PRIMARY DEALERS | RBI |
| RADIO | MIB |
| REGISTRARS & SHARE TRANSFER AGENTS | SEBI |
| SOLICITORS & LEGAL ADVISORS | BCI |
| STOCK BROKERS | SEBI |
| STOCK EXCHANGES | SEBI |
| SUB-BROKERS | SEBI |
| TV | MIB |
| VENTURE CAPITAL FUNDS | SEBI |
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