Service Overview
Investment Dealer licenses are issued by the FSC and allow entities to deal in securities, either on their own account or on behalf of clients. This license is suitable for brokerage firms, market makers, and securities traders.
License Categories
- Full-Service Dealer (including underwriting): Complete securities dealing services including underwriting
- Full-Service Dealer (excluding underwriting): Complete securities dealing services without underwriting
- Broker: Intermediary services for securities transactions
- Discount Broker: Basic securities dealing services at reduced rates
Key Requirements
- FSC licensing and approval
- Minimum capital requirements
- Qualified personnel and compliance framework
- Robust internal controls and risk management
- Ongoing regulatory compliance and reporting
How Helm can assist
We assist with structuring, licensing applications, internal control documentation, and ongoing regulatory compliance for investment dealers.
Requirements
- FSC License: Must obtain Investment Dealer license from FSC
- Minimum Capital: Must meet minimum capital requirements
- Qualified Personnel: Must have qualified personnel and compliance framework
- Internal Controls: Must have robust internal controls and risk management
- Regulatory Compliance: Must comply with ongoing regulatory requirements
- Regular Reporting: Must submit regular reports to FSC
