Our team works closely with all stakeholders throughout the process to ensure seamless service.
Clients who intend to conduct regulated business need to obtain the relevant licenses from local regulators.
Our team has an in-depth understanding of the rules, guidelines and processes involved in obtaining licenses and registrations for businesses intending to carry out regulated activities. We follow the process meticulously and assist you from the inception of the business, to the structuring of the firm’s policies and procedures.
WE CAN ASSIST THE CORPORATION WITH THE FOLLOWING:
• Advising on the specific license requirements
• Advising on regulatory capital requirements
• Assisting in preparation and submission of application forms
• Negotiate license conditions with authorities
• Preparation of all documentation relating to Operations, Corporate Governance and Risk Management obligations
• Liaising with local Regulators on all related matters
WE CAN ASSIST EACH RESPONSIBLE OFFICER AND LICENSED REPRESENTATIVE BY:
• Advising on competency requirements and on available waivers (where applicable)
• Assistance to complete and prepare the CVs of licensed representatives
• Liaising with the authorities on the assessment of the ‘fit and proper’ test of licensed representatives
OTHER RELATED SERVICES
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