Corporate licensing
Entity-level licensing and authorisation requirements
Applicant legal entities, branches, licensees, registered firms, advisers, broker-dealers, CMS licensees, AFSL holders, and authorised firms.
Securities and Futures Commission
Hong Kong
Hong Kong corporation or registered non-Hong Kong company with a real operating model Fit and proper controllers, directors, substantial shareholders, responsible officers, and managers
Open corporate requirementsMonetary Authority of Singapore
Singapore
Singapore entity with clear proposed activities and product scope Business plan, financial resources, compliance arrangements, AML/CFT program, and risk management framework
Open corporate requirementsFinancial Conduct Authority
United Kingdom
UK entity or branch model with permissions, investment types, and client types mapped Regulatory business plan, financial forecasts, capital/prudential analysis, and systems and controls
Open corporate requirementsSEC / FINRA / state securities regulators
United States
Form ADV, disclosure brochure, compliance program, custody analysis, books and records, and annual amendments for advisers FINRA New Member Application, supervisory procedures, personnel, systems, capital, and membership standards for broker-dealers
Open corporate requirementsAustralian Securities and Investments Commission
Australia
AFSL authorisation by service and financial product type Financial resources, compliance arrangements, dispute resolution, insurance, training, and risk management
Open corporate requirements