Our Regional Regulatory Licensing Solutions
In order to conduct your regulatory business globally, you must ensure that you obtain the relevant licenses from the local regulatory authorities.
To ensure a smooth application process, Kingsley Compliance Solutions advises and guides financial institutions including, fund managers, financial advisers, insurance brokers, trust managers, and payment services providers on the respective licensing requirements.
We can advise on all aspects of the licensing journey from what type of licence may be required to the preparation and submission of applications as well as communicating with local regulators.
- advising on the specific licence requirements
- advising on regulatory capital requirements
- assisting in the preparation and submission of application forms
- hedge fund specific registrations
- negotiating licence conditions with the relevant authorities
- preparation of all documentation relating to operations, corporate governance, and risk management obligations
- liaising with local regulators on all related matters
Our Regional Regulatory Licensing Solutions
Authorisation in the UAE
We can help you to consider all your options before you launch any regulatory authorisation application.
Authorisation in the EU/UK
We manage your regulatory application to the UK’s Financial Conduct Authority (FCA) by setting out a project plan, guiding you through the process and keeping you up to date on all stages, including, preparation, filing and ongoing conduct of the application.
Authorisation in APAC
Our team has a deep understanding of the rules, guidelines and processes in relation to obtaining licences and registrations. We follow the process meticulously and assist clients from initial business set up to maintaining all ongoing regulated activities.
Authorisation in the US
For US-based hedge funds we provide high touch company registration and authorization services for both the Securities Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).
Is compliance outsourcing the right option for your firm?
Details of the key considerations for senior management when deciding what compliance arrangements are most suitable.
