FINANCIAL SERVICESLICENSING

In recent years FAI has assisted a number of the leading “Forex and traditional brokers” obtain authorisation across a number of Jurisdictions both as Dealing Desk and Non Dealing Desks models.
In addition FAI’s experience extends to Portfolio Management & Investment Advice firms where the art and science of making decisions about investment mix and policy, matching investments to objectives is key.

Due to the vast amount of advice and management available, particularly online, investors are looking to ensure the safety of their funds and a benchmark for those providing the financial services prior investing. Regulation and licensing provides assurance to investors.

WHAT CAN FAI DO?

  • Consult on the Services to be applied for to set up for example:
    - a Broker (STP) / Principal (Market Maker);
    - Investment Advisor / Asset Management;
  • Provide assistance with completion of the Application Pack to be submitted to the regulator
  • Assist with the design of the Firm Structure
  • Prepare the required Internal Operations Manual according to relevant regulations.
  • Prepare the Business Plan and financial projections
  • Prepare the Procedures Manual for the Prevention of Money Laundering and Terrorist Financing
  • Assist in the preparation of the Personal Questionnaires for shareholders, directors and senior management
  • Follow-up the application during the process of assessment by the regulator
  • Assist in company personnel appointments (senior management & service providers)