02

Pre-Application
  • Collation of all requisite information and documentation

  • Supporting the liquid capital requirements calculations to determine the Firm’s compliance with regulatory capital

  • Drafting of the SFC prescribed forms

  • Completion of questionnaire A and B

  • Provision of a draft compliance manual, compliance monitoring programme and business continuity plan

  • Pre-submission liaison with SFC for more complex applications

01

SFC LICENCE APPLICATION SERVICES

03

04

Post-Application
  • Filing the application with the SFC and liaison with the SFC during the review and vetting process

  • Drafting of responses to all SFC enquiries for the firm to respond

  • Provision of ad-hoc advice and guidance relating to the SFC application process as required