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 RegTech Codex relevant to FCIS and Lithuania.
RegTech & Prudential Compliance
European Financial Regulatory Architecture in 2026: DORA ICT Operational Resilience, MiCA CASP Prudential Supervision, and EU AMLA Direct Oversight
A comprehensive statutory compliance briefing analyzing Regulation (EU) 2022/2554 (DORA) ICT incident reporting and TLPT mandates, Regulation (EU) 2023/1114 (MiCA) Class 1-3 CASP and EMT/ART reserve rules, Regulation (EU) 2023/1113 Travel Rule, and Frankfurt AMLA direct supervision.
Regulatory Compliance & Licensing
FATF Travel Rule (Recommendation 16) Cross-Border VASP Compliance, EU AMLR/AMLA Supervision & FCA/MAS Client Asset Segregation Audits: 2026 Codex
Cross-border Virtual Asset Service Provider (VASP) compliance refers to the synchronized execution of cryptographic wire-transfer messaging under FATF Recommendation 16, direct supranational AML supervision under EU Regulation (EU) 2024/1624 (AMLR) and Regulation (EU) 2024/1113 (TFR), and statutory daily client asset segregation reconciliations mandated by the UK FCA CASS 7/CASS 15 and MAS PSN02/CMSA frameworks.
EU MiCA & DORA Compliance
EU DORA & MiCA Compliance Rules: ICT Incident Reporting, CTPP Oversight & CASP Licensing (2026)
The EU Digital Operational Resilience Act (DORA) mandates major ICT incident reporting within 4 hours (Source: Regulation EU 2022/2554, 2025-01-17) and full MiCA CASP authorization by July 1, 2026 (Source: ESMA, 2026-07-01).
EU MiCA & DORA Compliance
EU Digital Operational Resilience Act (DORA) ICT Risk & 4-Hour Incident SLA: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds (4 Hours Major ICT Incident Alert Benchmark)
EU Digital Operational Resilience Act (DORA) ICT Risk & 4-Hour Incident SLA (EU-DORA-2022-2554) stands at 4 Hours (Major ICT Incident Alert) (Source: ESMA / EBA / EIOPA Joint RTS, 2026-10-20), governing initial permanent
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.