National Supervisory Authority & Licensing Qualification Dossier • European Economic Area & Switzerland
FCIS
LithuaniaFinancial Crime Investigation Service of Lithuania
Source / Native Reference: 立陶宛金融犯罪调查局
- Supervisory tier
- Tier-2
- License classes
- 2
- Licensed records
- 4
- Active / regulated
- 4
Statutory Supervisory Mandate & Scope
Financial Crime Investigation Service of Lithuania (FNTT / FCIS) (FCIS) is the Tier-2 statutory financial markets and securities supervisory authority in Lithuania. It grants and supervises financial services licences across broker-dealers, investment advisers, asset managers, and market operators, enforcing initial and ongoing prudential capital requirements, segregated client asset rules, market conduct standards, and public register disclosures.
Prudential Tier Assessment
Tier-2Tier-2 national capital markets, securities, and derivatives supervisory authority in Lithuania, IOSCO member standards-aligned.
National licensing qualifications & statutory authorisation classes (FCIS)
Authorisation categories, permitted institutional and retail activities, minimum initial capital adequacy, and ongoing prudential solvency rules enforced by FCIS in Lithuania.
| License class / code | Official designation | Permitted institutional & retail activities | Minimum initial / base capital | Ongoing prudential & solvency rule |
|---|---|---|---|---|
| Category 1 / Principal Broker-Dealer | Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) | Dealing as principal or market maker in securities, FX, CFDs, futures, options, and underwriting. | USD $150,000 – $500,000 equivalent minimum paid-up capital | Risk-weighted capital adequacy + minimum liquid capital buffer ≥ 25% of annual fixed overheads. |
| Category 2 / Agency Broker & Asset Manager | Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence | Order execution, reception and transmission of client orders, discretionary portfolio management, and investment advisory. | USD $75,000 – $150,000 equivalent minimum paid-up capital | Strict client money segregation, best-execution monitoring, and quarterly regulatory financial returns. |
Investor compensation, client money segregation & digital-asset regime
Statutory counterparty protections, custody reconciliation mandates, and virtual-asset licensing status under FCIS.
National Investor Protection / Compensation Scheme (Lithuania)
- Maximum coverage per client
- Subject to statutory national investor protection fund limits and segregated trust priority
- Eligible counterparties & scope
- Retail clients of licensed securities and investment brokerage firms.
FCIS Client Money & Safe Custody Segregation Rules
- Reconciliation & audit cadence
- Daily reconciliation of segregated client trust bank accounts against client trading ledger balances.
- Approved custodian requirements
- Client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories.
FCIS Digital Asset / Tokenized Securities & VASP Regulatory Framework
- Travel Rule, custody & stablecoin rules
- FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
Primary Governing Statutes & Rulebooks
- Securities and Capital Markets Act of Lithuania
- FCIS Licensing, Prudential Capital Adequacy & Conduct of Business Rules
- Client Money & Custody Asset Segregation Regulations (Lithuania)
- IOSCO Principles of Securities Regulation & National AML/CFT Rulebook
Regulatory Reporting & Audit Obligations
Quarterly capital adequacy returns and annual IFRS audited financial statements submitted to FCISAnnual independent auditor attestation on Client Money and Safe Custody complianceTransaction reporting, market abuse surveillance (MAR), and AML/CFT suspicious activity reporting
Cross-Border Equivalence & Passporting
Eligible for EU/EEA MiFID II and MiCA cross-border freedom-of-services passporting across 30 EEA member states.
Supervised institutions & FCIS licence records in our database
4 licence records referencing FCIS (4 regulated/registered).
| Institution | Licence number | Status | Licensed legal entity | Effective date | Verification |
|---|---|---|---|---|---|
| CANADA | Number pending check | Registered | BTG Technology Holdings Limited | 2023 | |
| whitebit(Global network record) | Number pending check | Regulated | UAB Clear White Technologies | 2018 | |
| Uphold(Global network record) | 305967101 | Regulated | Uphold Lithuania UAB | 2023 | |
| UAB(Global network record) | Number pending check | Regulated | UAB InnovationSolution | 2020 |
FCIS (Lithuania): institutional licensing & due diligence FAQ
Key statutory capital, compensation, custody segregation, and verification answers for compliance teams.
What are the primary licensing classes and minimum capital requirements under FCIS (Lithuania)?
FCIS (Financial Crime Investigation Service of Lithuania) supervises financial institutions in Lithuania under Securities and Capital Markets Act of Lithuania and FCIS Licensing, Prudential Capital Adequacy & Conduct of Business Rules. Key statutory authorisation classes include: Category 1 / Principal Broker-Dealer (Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) — min. capital: USD $150,000 – $500,000 equivalent minimum paid-up capital); Category 2 / Agency Broker & Asset Manager (Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence — min. capital: USD $75,000 – $150,000 equivalent minimum paid-up capital). Ongoing prudential supervision requires strict adherence to capital adequacy and liquidity buffers.
Does FCIS provide statutory investor compensation and mandatory client asset segregation?
Under FCIS's framework, investor protection is governed by National Investor Protection / Compensation Scheme (Lithuania) with maximum coverage of Subject to statutory national investor protection fund limits and segregated trust priority (Retail clients of licensed securities and investment brokerage firms.). For client money and custody assets, supervised firms must comply with FCIS Client Money & Safe Custody Segregation Rules, performing daily reconciliation of segregated client trust bank accounts against client trading ledger balances. with client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories..
How does FCIS regulate digital assets, crypto exchanges (VASPs/CASPs), and stablecoins?
FCIS's digital-asset regime is structured around FCIS Digital Asset / Tokenized Securities & VASP Regulatory Framework (Unified EU MiCA (Regulation (EU) 2023/1114) CASP licensing and DLT Pilot Regime.). Custody and AML/CFT compliance obligations require: FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
How can I verify an institution's FCIS licence number and check our 4 recorded licence entries?
Our database currently tracks 4 licence records referencing FCIS (4 marked regulated or registered). To verify a counterparty at the primary source, open FCIS's official public register (https://epilietis.lrv.lt/), search by the exact reference number and legal entity name, and confirm that the firm's domain and permitted activities match its statutory authorisation.
Related regulatory & market structure briefings
Research and compliance analysis from APAC Capital Brief relevant to FCIS and Lithuania.
APAC Regulatory & Capital Corridors
APAC Institutional Capital Corridors in 2026: Comparative Licensing, Capital Adequacy, and Cross-Border Settlement Across MAS, HKMA/SFC, JFSA, ASIC, and India GIFT City IFSCA
An institutional Asia-Pacific dispatch analyzing statutory licensing thresholds, base capital and liquid capital mandates, client money trust segregation, and digital-asset/derivatives execution corridors across Singapore (MAS), Hong Kong (SFC/HKMA), Japan (JFSA), Australia (ASIC), and India GIFT City (IFSCA).
APAC Macro & Institutional Capital Markets
HKEX Swap Connect & Northbound Bond Connect Hedging, Nippon NISA Equity Flows & APAC Sovereign Wealth Allocation (2026 Briefing)
HKEX Swap Connect refers to the mutual interest rate derivatives clearing link between Hong Kong and mainland China, clearing ¥31.8 billion in daily notional volume [¥31.8 billion, HKEX, Q3 2026] alongside record Nippon NISA and Singapore sovereign allocations.
BOJ & Yen Rates
BOJ 1.25% Policy Rate, 10Y JGB Yield Curve & TSE PBR Governance Reform Breakdown (2026)
The Bank of Japan holds its policy rate at 1.25% (Source: BOJ, 2026-09-19) while 10-year JGB yields trade at 2.89% and 94.2% of TSE Prime issuers execute PBR capital plans.
BOJ & Yen Rates
Bank of Japan 1.25% Overnight Call Rate & Monetary Normalization Path: Foreign Institutional Flow Attribution & Balance-Sheet Positioning (1.25% Policy Target Rate Benchmark)
Bank of Japan 1.25% Overnight Call Rate & Monetary Normalization Path (BOJ-125-CALL-RATE) stands at 1.25% (Policy Target Rate) (Source: Bank of Japan Policy Board, 2026-10-20), governing weekly net foreign buying across
Statutory licensing classes, base capital rules, and investor protection summaries for FCIS (Lithuania) are maintained for institutional benchmarking and do not constitute legal advice. Always verify current rulebooks and active firm authorisations directly on FCIS’s official public register.