Global compliance research
Financial and insurance activities: compliance research
Browse potential licenses, permits and compliance topics for ISIC Rev.5 L: Financial and insurance activities. Activity mappings need local verification.
ISIC Rev.5 section: L
Coverage status: unreviewed. This is an activity classification, not a legal determination or a complete license inventory. Local activity codes and licensing categories may differ.
More specific activities
- Regulationdraft
APRA CPS 234 information security
Australian prudential information security standard for relevant APRA-regulated entities.
AU · Australian Prudential Regulation Authority
Compare this requirement - Regulationdraft
Australian Privacy Act compliance
Australian privacy law; covered entities, exemptions and amendments require verification.
AU · Office of the Australian Information Commissioner
Compare this requirement - Regulationdraft
California Consumer Privacy Act, as amended by CPRA
California privacy obligations; thresholds, exemptions and current regulations require verification.
US-CA · California Privacy Protection Agency
Compare this requirement - CertificationOverview verified
Cyber Essentials certification
UK cybersecurity certification scheme covering five technical control areas and two assurance levels.
GB · National Cyber Security Centre / IASME
Compare this requirement - Certificationdraft
Cybersecurity Maturity Model Certification (CMMC)
US defense supplier cybersecurity program; contractual applicability and assessment level require review.
US · US Department of Defense
Compare this requirement - Business licensedraft
DIFC commercial licensing
Commercial establishment and registration in the DIFC special jurisdiction.
AE-DU-DIFC · Dubai International Financial Centre Registrar of Companies
Compare this requirement - Regulationdraft
Digital Operational Resilience Act (DORA)
Digital operational resilience requirements in the EU financial sector.
EU · European Union / European Supervisory Authorities
Compare this requirement - Regulationdraft
Digital Personal Data Protection Act compliance
Indian digital personal data protection framework; commencement, rules and phased obligations require current review.
IN · Ministry of Electronics and Information Technology
Compare this requirement - Business licensedraft
Dubai mainland business licensing
Dubai mainland business setup and licensing; free-zone permissions are separate.
AE-DU · Dubai Department of Economy and Tourism
Compare this requirement - Business licensedraft
Dubai virtual asset service provider licensing
Virtual asset regulation in Dubai; territorial scope and activities require verification.
AE-DU · Virtual Assets Regulatory Authority
Compare this requirement - Frameworkdraft
Essential Eight mitigation strategies
Australian cyber security mitigation guidance and maturity model.
AU · Australian Signals Directorate
Compare this requirement - Regulationdraft
EU Artificial Intelligence Act
AI regulation with role, risk and implementation-date distinctions requiring review.
EU · European Union / European AI Office
Compare this requirement - Business licensedraft
FCA firm authorisation or registration
UK regulated financial activities may require specific permissions or registration.
GB · Financial Conduct Authority
Compare this requirement - Regulationdraft
General Data Protection Regulation (GDPR)
EU personal data protection regulation; territorial scope can include organizations outside the EU.
EU · European Union / national supervisory authorities
Compare this requirement - Registrationdraft
Gewerbeanmeldung (German trade registration)
German trade registration research entry; competent local office and exemptions require confirmation.
DE · Relevant municipal trade office / federal service portal
Compare this requirement - Registrationdraft
Goods and Services Tax registration (India)
Indian GST registration; turnover, supplies, exceptions and state registrations require review.
IN · Goods and Services Tax authorities
Compare this requirement - Regulationdraft
Gramm–Leach–Bliley Act Safeguards Rule
Safeguards obligations for financial institutions within the FTC's jurisdiction.
US · US Federal Trade Commission
Compare this requirement - Certificationdraft
HITRUST assessment and certification
Assessment and certification routes under the HITRUST assurance program.
WORLD · HITRUST
Compare this requirement - Certificationdraft
ISO 14001 environmental management certification
Environmental management system standard; edition and transition arrangements require review.
WORLD · International Organization for Standardization
Compare this requirement - Certificationdraft
ISO 22301 business continuity certification
Business continuity management system standard.
WORLD · International Organization for Standardization
Compare this requirement - Certificationdraft
ISO 45001 occupational health and safety certification
Occupational health and safety management system certification.
WORLD · International Organization for Standardization
Compare this requirement - CertificationOverview verified
ISO 9001 quality management certification
Quality management system certification: current edition, scope, independent assessment and transition questions.
WORLD · International Organization for Standardization
Compare this requirement - Certificationsuperseded
ISO 9001:2015 — superseded edition
Historical edition record. ISO lists ISO 9001:2026 as the replacement; certificate transition arrangements require separate confirmation.
WORLD · International Organization for Standardization
Compare this requirement - Certificationdraft
ISO/IEC 27001 certification
Information security management system certification; scope and certification body must be established.
WORLD · International Organization for Standardization
Compare this requirement - Certificationdraft
ISO/IEC 42001 certification
Management system standard for artificial intelligence governance.
WORLD · International Organization for Standardization
Compare this requirement - Regulationdraft
Lei Geral de Proteção de Dados Pessoais (LGPD)
Brazilian personal data protection law and ANPD guidance.
BR · Autoridade Nacional de Proteção de Dados
Compare this requirement - Regulationdraft
NIS2 Directive
EU cybersecurity directive; national implementation and entity classification require local review.
EU · European Union / national competent authorities
Compare this requirement - FrameworkOverview verified
NIST Cybersecurity Framework 2.0
A framework for organizing cybersecurity risk outcomes, profiles and improvement priorities.
WORLD · National Institute of Standards and Technology
Compare this requirement - Frameworkdraft
NIST SP 800-171 controlled unclassified information protection
Security requirements for protecting controlled unclassified information; contract requirements and revisions need review.
US · National Institute of Standards and Technology
Compare this requirement - Business licensedraft
Payment services licensing in Singapore
Singapore payment services licensing and regulatory information.
SG · Monetary Authority of Singapore
Compare this requirement - Frameworkdraft
PCI DSS compliance
Payment card security standard; validation depends on the relevant payment ecosystem.
WORLD · PCI Security Standards Council
Compare this requirement - Regulationdraft
Personal Data Protection Act (Singapore)
Singapore personal data protection obligations.
SG · Personal Data Protection Commission
Compare this requirement - Regulationdraft
Personal Information Protection and Electronic Documents Act (PIPEDA)
Canadian federal private-sector privacy law; provincial laws may also be relevant.
CA · Office of the Privacy Commissioner of Canada
Compare this requirement - Regulationdraft
Sarbanes–Oxley Act internal control obligations
US issuer reporting and internal control obligations; issuer category and applicability require review.
US · US Securities and Exchange Commission
Compare this requirement - Registrationdraft
Singapore business registration
Singapore business registration routes; entity form and exemptions require review.
SG · Accounting and Corporate Regulatory Authority
Compare this requirement - Attestationdraft
SOC 2 examination
An assurance examination concerning controls at a service organization.
WORLD · American Institute of Certified Public Accountants
Compare this requirement - Regulationdraft
UAE federal personal data protection law
UAE federal data protection framework; free-zone regimes require separate consideration.
AE · UAE Government / UAE Data Office
Compare this requirement - Registrationdraft
UK company incorporation
Company incorporation is distinct from permissions to perform regulated activities.
GB · Companies House
Compare this requirement - Regulationdraft
UK GDPR and Data Protection Act compliance
UK personal data protection obligations; amendments and territorial scope require review.
GB · Information Commissioner's Office
Compare this requirement - Business licensedraft
US state money transmitter licensing
Research entry for state money transmission permissions; individual state rules remain to be mapped.
US · State financial regulators; NMLS State Resource Center
Compare this requirement - Regulationdraft
US workplace safety compliance
US occupational safety obligations; industry-specific rules and state plans require assessment.
US · Occupational Safety and Health Administration / state plans
Compare this requirement