Guides

Practical licensing guides

Decision-focused explainers with official-source references, checklists, common mistakes, and related tools.

Cross-border comparisonHong Kong SFC licensingSingapore MAS licensingUK FCA authorisationUS SEC/FINRA registrationApplication preparationPublic register due diligence

Cross-border comparison

How to choose between Hong Kong and Singapore for an asset management licence

A practical decision guide for new asset managers comparing SFC Type 9 and Singapore MAS fund management routes.

Updated 2026-06-05Reviewed for source alignment

Hong Kong SFC licensing

SFC Type 1, Type 4 and Type 9 explained by business model

A practical mapping of Hong Kong SFC Type 1, Type 4 and Type 9 to dealing, advice, fund distribution, and portfolio management workflows.

Updated 2026-06-05Reviewed for source alignment

Singapore MAS licensing

Singapore MAS CMS licence: what new fund managers should understand

A decision-focused guide to MAS CMS licence issues for Singapore fund managers, representatives, client type, and application preparation.

Updated 2026-06-05Reviewed for source alignment

UK FCA authorisation

UK FCA authorisation for investment firms: practical overview

How investment managers, advisers, and brokerage firms should think about FCA permissions, SM&CR, forecasts, CASS, and application evidence.

Updated 2026-06-05Reviewed for source alignment

US SEC/FINRA registration

US SEC investment adviser registration: practical overview

A practical overview of Form ADV, IARD, state registration checks, adviser versus broker-dealer issues, and public register verification.

Updated 2026-06-05Reviewed for source alignment

Application preparation

Why financial licence applications get delayed

The common reasons financial services licensing applications slow down across SFC, MAS, FCA, SEC, FINRA, and ASIC routes.

Updated 2026-06-05Reviewed for source alignment

Application preparation

Application readiness checklist for a new investment manager

A practical pre-application checklist for managers preparing SFC, MAS, FCA, SEC, FINRA, or ASIC licensing work.

Updated 2026-06-05Reviewed for source alignment

Public register due diligence

How public financial services registers help with due diligence

How to use SFC, MAS, FCA, SEC/IAPD, FINRA BrokerCheck, and ASIC registers when checking firms, advisers, and licensing claims.

Updated 2026-06-05Reviewed for source alignment

Cross-border comparison

HK vs SG vs UK vs US vs AUS: licensing comparison for a startup asset manager

A five-jurisdiction comparison for startup asset managers considering SFC, MAS, FCA, SEC/state/FINRA, and ASIC routes.

Updated 2026-06-05Reviewed for source alignment

US SEC/FINRA registration

Broker-dealer vs investment adviser: practical US comparison

How to distinguish US investment adviser registration from broker-dealer registration when advice, transactions, referrals, and platforms overlap.

Updated 2026-06-05Reviewed for source alignment

Application preparation

Questions to ask before hiring a compliance consultant

A practical checklist for selecting licensing and compliance advisers without outsourcing the founder's responsibility to understand the business.

Updated 2026-06-05Reviewed for source alignment