FundLicence / Broker-dealer licence
Broker-dealer licence — Selected jurisdiction
Authority, SRO and permissions determined at scoping.
- Place and authority
- Selected jurisdiction
- Capital
- Net capital according to activity
- Renewal
- Depends on the jurisdiction
Place and authority
Selected jurisdiction. Authority, SRO and permissions determined at scoping.
Capital
Net capital according to activity
Renewal
Depends on the jurisdiction. Depends on the country or national regime chosen: some are renewed at fixed intervals, others are not. The quote states it for your file.
Our work and its timing
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.
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
Where can this licence be obtained?
Selected jurisdiction.
What capital is required?
Net capital according to activity
Does the licence need to be renewed?
Depends on the jurisdiction. Depends on the country or national regime chosen: some are renewed at fixed intervals, others are not. The quote states it for your file.
How are your fees set?
This licence is 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.
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.