Service Overview
Investment Advisers are regulated under the Securities Act 2005 and are licensed to provide advice on securities and manage client portfolios. Investment Advisers are licensed entities providing investment advice and portfolio management services under the Securities Act 2005.
Types of Licenses
- Restricted: Permitted to provide investment advice only
- Unrestricted: Permitted to manage client funds or portfolios in addition to giving advice
Key Requirements
- Minimum capital requirements
- Qualified personnel and compliance officer
- FSC approval and ongoing regulatory filings
Services
- Investment advice on securities
- Portfolio management services
- Client suitability assessment
Regulatory Framework
- Regulated under the Securities Act 2005
- Must maintain professional standards and regulatory compliance
- Regular reporting to FSC
- Compliance with AML/CFT regulations
- Professional development requirements
How Helm can assist
We help prepare licensing applications, develop compliance frameworks, and offer ongoing regulatory support, including acting as local officers where required.
Requirements
- FSC License: Must obtain Investment Adviser license under the Securities Act 2005
- Minimum Capital: Must meet minimum capital requirements
- Qualified Personnel: Must have qualified personnel and compliance officer
- Professional Standards: Must maintain professional standards and regulatory compliance
- Regular Reporting: Must submit regular reports to FSC
- AML/CFT Compliance: Must comply with AML/CFT regulations
- Professional Development: Must meet ongoing professional development requirements
