Who this helps
- - Founders
- - Students
- - Operations teams
Product scope drives permissions
Licensing analysis changes when the product is a share, bond, fund interest, derivative, structured product, digital asset, managed account, or collective investment scheme. Product language should match official regulator materials.
A business plan that only says investment products is usually too vague for a serious licensing conversation.
Roles drive individual approvals
The same product can involve different roles: adviser, manager, dealer, broker, representative, senior manager, responsible officer, compliance officer, custodian, or platform operator.
Individual licensing pages should therefore be read alongside corporate licensing pages. The firm route and the people route are connected.
Practical checklist
- - Name the financial products in regulator language.
- - Name each market role in the workflow.
- - Check whether product expansion requires licence variation or new individuals.
Disclaimer
Information on LicenseCompare is for general educational purposes only and does not constitute legal, regulatory, financial, tax, investment, or professional advice. Licensing requirements depend on facts and change over time. Always consult official regulator materials and qualified professional advisers.