LicenseCompare

Activity map

Investment advisory licensing requirements

Personal, firm, platform, or research-led models that recommend securities, funds, portfolios, or other financial products.

Who this is for

  • - Investment advisers
  • - Research-led platforms
  • - Wealth advisers
  • - Fintech recommendation tools

Trigger questions

  • - Is the communication general information or a recommendation?
  • - Is the advice personalised to a client, portfolio, risk profile, or objective?
  • - How are advisers, representatives, and senior owners supervised?

Common mistakes

  • - Calling advice education without checking how the user journey actually works.
  • - Failing to document suitability, conflicts, disclosure, and supervision.

Compare by jurisdiction

Securities and Futures Commission

Hong Kong

Typically 4 to 8+ months after a serious application pack is ready.

Open matrix

Monetary Authority of Singapore

Singapore

Typically 4 to 9+ months depending on route and readiness.

Open matrix

Financial Conduct Authority

United Kingdom

FCA service standards distinguish complete and incomplete applications; practical timelines often run 4 to 10+ months.

Open matrix

SEC / FINRA / state securities regulators

United States

SEC adviser registration can become effective in about 45 days if complete; FINRA new member review may run up to 180 calendar days for substantially complete applications.

Open matrix

Australian Securities and Investments Commission

Australia

Often 4 to 8+ months depending on authorisations and proof quality.

Open matrix