Regulatory licensing and registration to conduct financial services or establish fund vehicles can be a complex process which requires a clear understanding of the requirements, expectations, and disclosure requirements.
We can assist you in seeking permission to conduct financial services across global financial centres. Newly licensed entities are also supplemented by our ongoing compliance services to provide an immediate end-to-end compliance and regulatory infrastructure to our clients. Our regulatory licensing services cover international jurisdictions including:
- Dubai Financial Services Authority (“DFSA”) - Dubai International Financial Centre (“DIFC”)
- Financial Services Regulatory Authority (“FSRA”) – Abu Dhabi Global Market (“ADGM”)
- Virtual Assets Regulatory Authority (“VARA”) - United Arab Emirates
- Financial Conduct Authority (“FCA”) – United Kingdom
- Malta Financial Services Authority (“MFSA”) - Malta
- Monetary Authority of Singapore (“MAS”) - Singapore
- Securities Exchange Commission (“SEC”) - United States of America
- Financial Services Commission (“FSC”) - Mauritius
Services Include:
- Regulatory business plan development
- Governance advisory
- Identification of applicable regulatory permissions and frameworks to support the proposed business activities
- Assistance in preparing the financial projections for regulatory capital requirements
- Identification of the applicable risks commensurate with the business model
- Regulatory application documents
- Compliance policies and procedures
- Fund registration application forms
- Service provider applications
- Related due diligence
- Senior management training - regulatory duties
- Interface and support with the regulatory and registration agencies
