Registrations and licensing

We have advised on and managed filings for organisations seeking to become investment managers and broker-dealers. This included all aspects of the follow-up process, quarterly and annual reviews and amendments to the regulatory filings. We have advised on the registration of firms as investment advisers with the SEC and the SFC and the implementation and review of their compliance programmes.

Registration and licensing support

We can, with and for you:

  • research, write and file applications for registration and licensing
  • liaise with regulators
  • implement and review compliance and monitoring programmes
  • conduct periodic and annual reviews, including “mock examinations”
  • train directors, compliance officers (including the chief compliance officer) and operations and trading staff
  • draft, implement and review codes of ethics (including PA dealing programmes)
  • prepare for examinations and investigations