Guides
Practical licensing guides
Decision-focused explainers with official-source references, checklists, common mistakes, and related tools.
Cross-border comparison
How to choose between Hong Kong and Singapore for an asset management licence
A practical decision guide for new asset managers comparing SFC Type 9 and Singapore MAS fund management routes.
Hong Kong SFC licensing
SFC Type 1, Type 4 and Type 9 explained by business model
A practical mapping of Hong Kong SFC Type 1, Type 4 and Type 9 to dealing, advice, fund distribution, and portfolio management workflows.
Singapore MAS licensing
Singapore MAS CMS licence: what new fund managers should understand
A decision-focused guide to MAS CMS licence issues for Singapore fund managers, representatives, client type, and application preparation.
UK FCA authorisation
UK FCA authorisation for investment firms: practical overview
How investment managers, advisers, and brokerage firms should think about FCA permissions, SM&CR, forecasts, CASS, and application evidence.
US SEC/FINRA registration
US SEC investment adviser registration: practical overview
A practical overview of Form ADV, IARD, state registration checks, adviser versus broker-dealer issues, and public register verification.
Application preparation
Why financial licence applications get delayed
The common reasons financial services licensing applications slow down across SFC, MAS, FCA, SEC, FINRA, and ASIC routes.
Application preparation
Application readiness checklist for a new investment manager
A practical pre-application checklist for managers preparing SFC, MAS, FCA, SEC, FINRA, or ASIC licensing work.
Public register due diligence
How public financial services registers help with due diligence
How to use SFC, MAS, FCA, SEC/IAPD, FINRA BrokerCheck, and ASIC registers when checking firms, advisers, and licensing claims.
Cross-border comparison
HK vs SG vs UK vs US vs AUS: licensing comparison for a startup asset manager
A five-jurisdiction comparison for startup asset managers considering SFC, MAS, FCA, SEC/state/FINRA, and ASIC routes.
US SEC/FINRA registration
Broker-dealer vs investment adviser: practical US comparison
How to distinguish US investment adviser registration from broker-dealer registration when advice, transactions, referrals, and platforms overlap.
Application preparation
Questions to ask before hiring a compliance consultant
A practical checklist for selecting licensing and compliance advisers without outsourcing the founder's responsibility to understand the business.