Investment firm, fund manager and broker licences
Authorisations for AIFMs, UCITS management companies, crowdfunding platforms, trading venues and DLT market infrastructures, investment firms, brokers and fund administrators.
- Licences
- 12
- Where
- 2 places
- Our fees
- from €20,690
What we do, and what belongs to the authority
Managing other people's money or running a market is regulated through a precise list of services: portfolio management, advice, order execution, fund management, operation of a trading venue. The licence follows the services, and the capital follows the licence.
We prepare the application — programme of operations, own-funds calculation, risk and compliance frameworks, conflicts of interest, the people the regulator will meet — file it and follow it until the decision.
Good to know before you start
- Several of these licences are quoted after review because the supervisor's fees depend on the activity.
- Own funds are calculated on the activity, not set once.
- The authority alone decides, and sets the pace of its review.
Licences we prepare
Fees for preparing and filing, excluding VAT. The authority's own fees and the capital are not fees.
European Union and EEA
In the jurisdiction you choose
How it works
- Scoping call
We check the activity, the market and the people, and name the licence that fits.
- Firm quote
A written quote with the fees and what they cover, before anything is signed.
- Identity check
Owners, directors and key people are verified before any work on the file.
- Application file
Programme of operations, financial plan, policies and governance, written with you.
- Filing and questions
We file the application and answer the authority's questions round after round.
- Decision
The authority decides. We stay on the file until the decision and the first obligations after it.
Documents we will ask you for
Applicant company, shareholders/UBOs, directors and control functions
Required in every case
- Power of representation, notarised remotely. It gives us standing to act on your behalf before registries, banks and the relevant authorities, within the limits it sets out. The notarisation session is held by video; a valid identity document is required.
- Certificate of incorporation or recent registry extract
- Up-to-date articles, memorandum/articles or constitutive deed
- Register of directors and register of shareholders
- Ownership chart up to the natural-person beneficial owners
- KYC, CVs, diplomas, references and criminal records of the UBOs, directors and key persons
- Programme of operations: services, instruments, markets, clients and countries
- Business plan, projections and evidence of prudential capital
- Governance, conflicts, remuneration, best execution and investor protection
- Risk, compliance, AML/CFT, internal audit and complaints framework
- IT architecture, reporting, outsourcing, continuity and cybersecurity
- Custody, execution, liquidity, depositary, administrator or market-data contracts depending on the model
Depending on the case
- Management/performance track record
- Prospectus, fund rules and investor documents
- Market rulebook and admission criteria
- Acquirer file for a change of control
- Contract with the principal firm for a tied agent
The exact list follows what you order; it is confirmed in your client space after payment.
Questions
Who operates FundLicence?
FundLicence is a service of AquaSands Trading AG, a Swiss stock corporation (Aktiengesellschaft, AG), c/o Kaurum GmbH, Hasenbüelweg 32, 6300 Zug, Switzerland. Orders, invoices and contracts are with AquaSands Trading AG.
Do you guarantee the licence?
No. The licence is granted by the authority after its own review. Our commitment is the quality of the file, its filing and its follow-up until the decision.
How are your fees set?
Each licence shows its starting fee, from €20,690 on this site; some are quoted after review because the authority's own fees depend on the activity. The firm quote follows the scoping call, before anything is signed.
How long does it take?
Preparation and filing take 6–16 weeks once we have your documents. The decision and its timing belong to the authority: no time to approval is announced.
Where can these licences be obtained?
European Union and EEA, In the jurisdiction you choose.