SFC Licensing

Cordium will project manage and supervise a firm’s application to the SFC from commencement and until determination of the application by the SFC.

Cordium will undertake the following work:

  • undertake an initial risk assessment of the business to be conducted once authorised;
  • provision of advice on the type(s) of regulatory activity required;
  • assistance on the preparation of the regulatory business plan;
  • advise on internal organisation and senior management structures and corporate governance requirements;
  • provision of advice on systems and controls and assisting in their implementation;
  • provision of advice on the approvals and vetting of licensed persons including Responsible Officers (‘RO’) and Licensed Representatives (‘LR’);
  • preparation of all the necessary compliance documentation needed to run the new SFC licensed business and help to complete documentation required to obtain your license;
  • liaising with your other professional advisers (ie. lawyers, accountants, etc); and
  • conduct any pre-authorisation compliance training for the relevant senior management, SFC RO’s and LR’s – this may be face to face or web based dependent upon location of delegate’s.