FINANCIAL SERVICESLICENSING

GET YOUR BROKER LICENSED AND AUTHORISED

Getting a company licensed is top priority especially in the financial industry. FAI has worked with leading Forex brokers, helping them obtain authorisation across a number of jurisdictions. Whether your broker operates with a dealing desk, non-dealing desk or ECN model FAI can help you get licensed.

SET UP YOUR PORTFOLIO MANAGEMENT & INVESTMENT ADVICE SERVICES

Offering investment advice is risky unless done under strict regulations. FAI can help you set-up your service package and get it authorized by your regulator.

WHAT CAN FAI DO?

  • Consultation on which services a broker should apply for
  • Assistance with completion of application pack
  • Assistance with the design of the firm structure
  • Assistance in the preparation of the Personal Questionnaires for shareholders, directors and senior management
  • Preparation of the required Internal Operations Manual according to relevant regulations
  • Preparation of the Business Plan and financial projections
  • Preparation of the Procedures Manual for the Prevention of Money Laundering and Terrorist Financing
  • Follow-up on the application during the process of assessment by the regulator
  • Assistance in company personnel appointments (senior management & service providers)