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Licensing or Registration Process

Sophie Grace will prepare the application for a licence or registration, which must be submitted to the SFC. This includes completing the relevant forms and supporting documents. Sophie Grace will also liaise with the SFC as required. Alternatively, Sophie Grace can assist in specific areas of the application as required.

 

 

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Licensing or Registration Process

In order to be granted a licence or become registered, an application must be submitted to the SFC. The application is complex and requires numerous supporting documents in addition to an application fee and thereafter, an annual renewal fee. The basic approval criteria, depending on the type of licence, include:

Fit and Proper: to ensure that a person or company is fit and proper for the purposes of licensing or registration. The SFC may consider:

  • Reputation, character, reliability and financial integrity
  • Ability to carry on the regulated activity competently, honestly and fairly
  • Financial status or solvency

Competence: to ensure that a person or company is competent to carry on any regulated activities. The SFC may consider:

  • Organisation structure
  • The combined competence of a company’s personnel
  • Business structure
  • Educational qualifications
  • Internal systems

Sophie Grace will prepare these documents for your application.