{"jurisdictions":["US","GB","AE"],"unknown":[],"sanctions_lists":[{"name":"Specially Designated Nationals and Blocked Persons (SDN) List and other OFAC sanctions lists","publisher":"U.S. Department of the Treasury, Office of Foreign Assets Control (OFAC)","url":"https://sanctionslist.ofac.treas.gov/Home/SdnList","from":"US"},{"name":"Consolidated Screening List (Commerce, State and Treasury export and sanctions lists)","publisher":"U.S. Department of Commerce, International Trade Administration","url":"https://www.trade.gov/consolidated-screening-list","from":"US"},{"name":"United Nations Security Council Consolidated List","publisher":"United Nations Security Council","url":"https://main.un.org/securitycouncil/en/content/un-sc-consolidated-list","from":"US"},{"name":"UK Sanctions List","publisher":"UK Government (Foreign, Commonwealth & Development Office)","url":"https://www.gov.uk/government/publications/the-uk-sanctions-list","from":"GB"},{"name":"OFSI financial sanctions guidance and notices","publisher":"HM Treasury, Office of Financial Sanctions Implementation (OFSI)","url":"https://www.gov.uk/government/organisations/office-of-financial-sanctions-implementation","from":"GB"},{"name":"UAE Local Terrorist List and UN sanctions implementation","publisher":"Executive Office for Control & Non-Proliferation (EOCN)","url":"https://www.uaeiec.gov.ae/en-us/","from":"AE"},{"name":"UN sanctions page (targeted financial sanctions)","publisher":"Executive Office for Control & Non-Proliferation (EOCN)","url":"https://www.uaeiec.gov.ae/en-us/un-page","from":"AE"}],"company_registries":{"US":[{"name":"Delaware Division of Corporations entity search","url":"https://icis.corp.delaware.gov/ecorp/entitysearch/namesearch.aspx","notes":"US companies are registered at state level; check the state of formation."},{"name":"Wyoming Secretary of State business entity search","url":"https://wyobiz.wyo.gov/Business/FilingSearch.aspx","notes":"State-level registry."},{"name":"SEC EDGAR full-text search","url":"https://www.sec.gov/edgar/search/","notes":"Federal securities filings (not a formation registry); shows public filers and Form D exempt-offering notices."}],"GB":[{"name":"Companies House - Find and update company information","url":"https://find-and-update.company-information.service.gov.uk/","notes":"Covers England & Wales, Scotland and Northern Ireland companies."}],"AE":[{"name":"DIFC Public Register","url":"https://www.difc.com/business/public-register","notes":"Companies registered in the Dubai International Financial Centre."},{"name":"ADGM Public Registers","url":"https://www.adgm.com/public-registers","notes":"Abu Dhabi Global Market Registration Authority entity search."}]},"regulator_registers":{"US":[{"regulator":"FINRA","register_name":"BrokerCheck","url":"https://brokercheck.finra.org/","covers":"broker-dealers and registered representatives"},{"regulator":"SEC","register_name":"Investment Adviser Public Disclosure (IAPD)","url":"https://adviserinfo.sec.gov/","covers":"investment advisers"},{"regulator":"FDIC","register_name":"BankFind Suite","url":"https://banks.data.fdic.gov/bankfind-suite/bankfind","covers":"banks (the FDIC BankFind register of US banks)"},{"regulator":"FinCEN","register_name":"MSB Registrant Search","url":"https://www.fincen.gov/resources/msb-state-selector","covers":"money services businesses (federal registration)"}],"GB":[{"regulator":"Financial Conduct Authority (FCA)","register_name":"Financial Services Register","url":"https://register.fca.org.uk/s/","covers":"banks, investment firms, advisers, payment and e-money firms, registered cryptoasset firms"}],"AE":[{"regulator":"Central Bank of the UAE (CBUAE)","register_name":"CBUAE Register (Licensing page)","url":"https://centralbank.ae/en/licensing/","covers":"banks, finance companies, exchange houses, payment and insurance entities (onshore)"},{"regulator":"Capital Market Authority (federal; sca.gov.ae redirects here)","register_name":"Licensed Companies / Registered Companies (linked from home page)","url":"https://www.uaecma.gov.ae/en/home.aspx","covers":"securities firms and investment advisers (onshore, federal)"},{"regulator":"Dubai Financial Services Authority (DFSA)","register_name":"Public Register - Firms","url":"https://www.dfsa.ae/public-register/firms","covers":"banks, broker-dealers, advisers and other authorised firms in DIFC"},{"regulator":"ADGM Financial Services Regulatory Authority (FSRA)","register_name":"FSRA Public Register","url":"https://www.adgm.com/public-registers/fsra","covers":"banks, broker-dealers, advisers and virtual asset firms in ADGM"},{"regulator":"Virtual Assets Regulatory Authority (VARA)","register_name":"Public Register","url":"https://www.vara.ae/en/licenses-and-register/public-register/","covers":"virtual asset service providers (Dubai, outside DIFC)"}]},"securities_route":{"US":{"summary":"Offering securities to US investors generally requires registration with the SEC or reliance on an exemption (for example Regulation D), and effecting securities transactions for others generally requires a registered broker-dealer.","sources":[{"title":"Registration Under the Securities Act of 1933 (Investor.gov, SEC)","url":"https://www.investor.gov/introduction-investing/investing-basics/glossary/registration-under-securities-act-1933"},{"title":"Exempt Offerings (SEC)","url":"https://www.sec.gov/resources-small-businesses/exempt-offerings"},{"title":"Guide to Broker-Dealer Registration (SEC)","url":"https://www.sec.gov/about/divisions-offices/division-trading-markets/division-trading-markets-compliance-guides/guide-broker-dealer-registration"}]},"GB":{"summary":"Carrying on regulated activities in the UK generally requires FCA authorisation or an exemption (the general prohibition), and communicating a financial promotion generally requires it to be made or approved by an authorised person unless an exemption applies.","sources":[{"title":"FSMA 2000 section 19 (general prohibition), legislation.gov.uk","url":"https://www.legislation.gov.uk/ukpga/2000/8/section/19"},{"title":"FSMA 2000 section 21 (financial promotion), legislation.gov.uk","url":"https://www.legislation.gov.uk/ukpga/2000/8/section/21"},{"title":"The Public Offers and Admissions to Trading Regulations 2024, legislation.gov.uk","url":"https://www.legislation.gov.uk/uksi/2024/105/contents"},{"title":"Financial promotions and adverts (FCA)","url":"https://www.fca.org.uk/firms/financial-promotions-adverts"}]},"AE":{"summary":"Which UAE regulator applies generally depends on where the activity is carried on: onshore (federal capital markets regulator and CBUAE), DIFC (DFSA) or ADGM (FSRA); dealing or arranging in securities generally requires a licence from the relevant authority, and virtual asset activity in Dubai outside DIFC generally falls under VARA.","sources":[{"title":"Capital Market Authority (federal) home page","url":"https://www.uaecma.gov.ae/en/home.aspx"},{"title":"DFSA Public Register - Firms","url":"https://www.dfsa.ae/public-register/firms"},{"title":"ADGM FSRA Public Register","url":"https://www.adgm.com/public-registers/fsra"},{"title":"VARA Public Register","url":"https://www.vara.ae/en/licenses-and-register/public-register/"}]}},"verified_on":{"US":"2026-09-30","GB":"2026-09-30","AE":"2026-09-30"},"notes":{"US":["State securities regulators and state money transmitter licensing also apply in many cases; not covered by this pack."],"GB":["The OFSI Consolidated List of Asset Freeze Targets page on GOV.UK is marked withdrawn as of the verified date; the UK Sanctions List is used instead."],"AE":["The federal onshore commercial registry (ner.economy.ae) redirected to a different portal during verification and is omitted; onshore companies are generally registered with the emirate-level economic department.","www.sca.gov.ae redirected to www.uaecma.gov.ae titled \"Capital Market Authority\" on the verified date; confirm the regulator name before citing it.","Several UAE official sites block automated requests; these were verified with a browser-like client."]},"limitation":"Reference information from official sources as of the verified date. Not legal advice; confirm requirements with local counsel."}