About Us

The EBR (European Brokers Regulation) is the independent public supervisory authority tasked with regulating brokers and financial institutions within the European Union. It ensures that brokers adhere to stringent regulatory standards, safeguarding clients' interests and maintaining market integrity. The EBR addresses all client concerns, offers dispute resolution mechanisms, and provides a comprehensive risk score for brokers, helping investors make informed decisions while minimizing potential risks in the financial markets.

Professionalism. Honesty. Effective.

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Our team

At EBR (European Brokers Regulation), our team is dedicated to upholding the highest standards of integrity and excellence. As the independent public supervisory authority, we oversee the investment services market, manage transactions in transferable securities across the European Union, and regulate the collective investment and asset management sector. Our professionals are committed to ensuring that the financial markets operate transparently and securely, fostering trust and confidence among investors and market participants.

  • Shanon Wilkins

    Lawyer

    Shanon Wilkins

    Neal Phelps is a Lawyer and Accredited Mediator. He holds a BA (Hons) in Business and Management, a Master of Science in Construction Project Management, a Postgraduate Diploma in Surveying and is also a professional member of the Royal Institution of Chartered Surveyors (MRICS).

  • Janis Simmons

    Vice chairman

    Janis Simmons

    Janis Simmons is the Vice Chairman of the European Financial Securities, bringing a wealth of expertise to her role. With her deep knowledge in the structure and management of investment funds and the capital market, she plays a critical role in shaping financial strategies and policies. 

  • Brendan Rice

    Chairman

    Brendan Rice

    Dr Brendan Rice is the Chairman of the European Financial Securities. The committee is part of the European Securities and Markets Authority (ESMA), the EU’s securities markets regulator. Dr Theocharides has extensive experience working in the wider financial sector.

  • Neal Phelps

    Finance Manager

    Neal Phelps

    Shanon Wilkins graduated from Nottingham Business School with a BA (Hons) First Class in Finance, Accounting and Management and he joined Moore Stephens in London where he became a qualified member of the Institute of Chartered Accountants (ICAEW).

What is financial regulation?

A financial regulator is a specialized authority, either governmental or independent, responsible for overseeing the operations and integrity of financial markets and institutions within its jurisdiction. These bodies set rules, conduct oversight, and enforce compliance to ensure that financial institutions operate ethically and are financially sound.

The main objectives of financial regulation include protecting consumers, maintaining the stability of the financial system, preventing financial crimes such as fraud and money laundering, and promoting competition and innovation within the industry. 

Regulators monitor a wide range of financial activities, including banking services, securities trading, insurance, and pensions, often coordinating with international bodies to address cross-border financial issues and crises. Through these efforts, financial regulators play an essential role in securing the overall health and transparency of global financial markets.

  • What is the role of a financial regulator in the brokerage industry?

    The primary role of a financial regulator in the brokerage industry is to oversee and enforce regulations that ensure brokers operate in a fair, transparent, and financially sound manner. This includes licensing brokers, monitoring their activities, ensuring compliance with laws and regulations, and protecting investors from fraud and malpractice.

  • How can I verify if a financial institution is licensed and regulated?

    You can verify if a financial institution is licensed and regulated by checking the official website of the financial regulator. Most regulators maintain an online registry or database where you can search for licensed platforms. Additionally, you can contact the regulator directly to inquire about the broker’s regulatory status.

  • What should I do if I have a complaint against a financial institution?

    If you have a complaint against a financial institution, you should first try to resolve the issue directly with this company. If the issue is not resolved to your satisfaction, you can file a formal complaint with the financial regulator. The regulator will investigate the complaint and take appropriate action if necessary.

  • What are the common red flags to watch out for when choosing a financial institution/broker?

    Common red flags include platforms that are not licensed or regulated, promise guaranteed returns, use high-pressure sales tactics, or lack transparency in fees and charges. It’s also a red flag if the broker is reluctant to provide clear and complete information about their operations or your investments.

  • How does the financial regulator ensure the safety of client funds?

    The financial regulator ensures the safety of client funds by requiring financial institutions to segregate client funds from their operational funds, maintaining adequate capital reserves, and adhering to strict financial reporting and auditing standards. The regulator also conducts regular inspections and audits to ensure compliance.