EU & offshore financial services licensing
In recent years, FAI Comply has assisted a number of the leading Forex and traditional brokers to obtain authorisation across a number of jurisdictions both as dealing desk and non-dealing desk models.
In addition, FAI Comply's experience extends to portfolio management and investment advice firms, where the art and science of making decisions about investment mix and policy and 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 to investing. Regulation and licensing provides assurance to investors.
What can FAI Comply do for your business?
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Consult on the services to be applied for/to be 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
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Assist with the design of the firm structure
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Prepare the required internal operations manual according to relevant regulations
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Prepare the business plan and financial projections
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Prepare the procedures manual for the prevention of money laundering and terrorist financing
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Assist in the preparation of the personal questionnaires for shareholders, directors and senior management
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Follow up the application during the process of assessment by the regulator
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Assist in company personnel appointments (senior management & service providers)
