Starter plans
Jurisdiction securities licensing starter plans
Country-specific first steps for people entering the field, studying for licensing exams, preparing application evidence, or checking which licence route may matter.
Role and activity
Exam or competence
Register checks
Evidence pack
Official sources
SFC licence applicants
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.
CMS licence applicants
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.
FCA authorisation applicants
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.
SIE candidates
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.
AFSL applicants
Australia AFSL and financial adviser starter plan
A starter plan for Australia AFSL applicants, responsible manager candidates, authorised representatives, financial adviser entrants, and people checking ASIC/FAR sources.