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)