SFC Licensing

Duff & Phelps assists clients from the initial corporate structuring stage through to obtaining authorization to engage in regulated activities.

Duff & Phelps has a skilled team with experience of having both worked at the SFC and who are familiar with its licensing process. We will also assist you to implement the compliance infrastructure and provide ongoing compliance support post-licensing.

Our team has extensive experience of assisting with licensing and our comprehensive licensing service offers a full project management process ensuring that resources can be focused on other areas of the business.

We can assist the corporation with the following:

  • Advising on the most relevant license
  • Assistance with completing all necessary SFC application forms
  • Assistance in preparing compliance documentation and business plans, required to be submitted with the licensing application
  • Assisting with the preparation of financial projections
  • Liaising with the SFC as to licensing application including responding to requisitions in a timely manner
  • Advising on regulatory capital requirements.

 

We can assist each Responsible Officer and Licensed Representative by:

  • Advising on competency requirements
  • Advising on available waivers (if applicable)
  • Assistance to complete and prepare the CVs for each representative
  • Liaising with the SFC on the fitness and properness of representatives

During the licensing process our team works closely with third party advisors and service providers to ensure a seamless delivery of service, and we have a proven track record of achieving positive outcomes in the SFC licensing area.

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