NBFI and securities knowledge hub

Securities broker and dealing representative licence map

Map brokerage, dealing, execution, placement, introductions, transaction compensation, representative exams, firm sponsorship, and public-register checks.

Investment adviser licence and exam map

Map personal recommendations, adviser registration, representative status, Series 65/66, suitability, disclosure, conflicts, and public-register checks.

Asset and fund manager licence map

Map discretionary portfolio management, fund management, responsible officers, portfolio managers, private fund advisers, NBFI context, custody, valuation, and application evidence.

Compliance officer licence and responsibility map

Map compliance officer, MLRO, SMF, responsible officer, responsible manager, monitoring, conduct, AML/CFT, reporting, and post-approval obligation ownership.

Securities career starter learning path

A guided path for students and career changers who want to understand securities roles, exams, public registers, and licensing vocabulary before applying for roles.

Founder licence application learning path

A route for founders and operators who need to move from business idea to licence route, evidence pack, people file, timeline estimate, and official-source review.

Investment adviser readiness learning path

A guided path for people and firms moving toward investment advice roles, adviser registration, representative evidence, client classification, suitability, and conflicts controls.

Broker-dealer and dealing learning path

A guided path for people learning securities sales, dealing, brokerage, transaction compensation, registered representatives, supervision, and public-register checks.

Hong Kong securities licensing starter plan

A first-week to first-90-days plan for people entering Hong Kong SFC-regulated roles or founders preparing SFC licence questions.

Singapore CMS licensing starter plan

A practical starter plan for Singapore capital markets roles, CMS licence applicants, representatives, fund managers, and people checking MAS/IBF sources.

UK FCA authorisation and competence starter plan

A starter plan for people entering UK regulated securities, investment management, advice, and compliance roles or preparing FCA authorisation evidence.

US securities registration starter plan

A starter plan for US securities career entrants, SIE candidates, investment adviser representatives, broker-dealer teams, and founders comparing SEC, state, FINRA, and public-register routes.

nbfi

What are non-bank financial institutions?

A practical primer on NBFIs, why they matter for licensing, and how investment funds, advisers, brokers, insurers, pension funds, finance companies, and market infrastructures fit into the wider system.

nbfi

Funds, advisers, brokers, dealers, custodians and market operators

How common financial services roles differ in practice, and why a single user journey can create several licensing questions.

nbfi

How licensing fits into the NBFI ecosystem

How firm-level licensing evidence connects to wider NBFI concerns such as leverage, liquidity, market stress, and financial stability.

securities

Securities, funds, derivatives and market roles

A beginner-friendly but practical guide to the product and role vocabulary behind securities licensing routes.

securities

Professional, accredited, wholesale and retail clients

Why client classification changes licensing, conduct, disclosure, marketing, and evidence requirements across jurisdictions.

securities

Custody, client assets and safeguarding

How custody and client asset control can change licensing routes, capital expectations, audit work, and operating controls.

securities

Financial promotions, solicitation and cross-border marketing

A practical guide to public marketing, private placement assumptions, reverse enquiry, and cross-border user journeys.

securities

Public registers and clone-firm risk

How to use official financial services registers to check firms, individuals, permission scope, status, warnings, and identity mismatch.