SFC Licensing Application Advisory

Service Scope

  1. Provide preliminary advice to management on the regulatory approval process and the types of Regulated Activity (“RA”) license(s) required;1. .

  2. Provide guidance to management on the requirements for Responsible Officers (“ROs”) and major shareholder and manager in charge, compliant officer, etc.

  3. Assist management with identifying and sourcing qualified ROs to join the firm;

  4. Assist in identifying and capturing all the regulatory issues and hurdles that may arise during the application process;

  5. Advise on the key areas considered by the regulatory authority in granting the RA license;

  6. Preparation of documentation for submission to the regulatory authority. Tailor it to a standard acceptable by the regulatory authority;

  7. Preparation of proper documentation in support of the application with management in responding to the queries raised by the regulatory authority during its review of the application documents;

  8. Attend on behalf and/or accompany management to any meetings with the regulatory authority in order to discuss any issues and concerns arising from the approval process

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