Asset management

Forex licenses, asset management,
investment funds, invest consulting,
brokerage licenses, AML for investment

To manage various client assets, it is necessary to obtain a special license. Depending on the chosen jurisdiction and the nature of the activity, the licensing procedure may vary. The team of experts at SBSB Fintech Lawyers will provide comprehensive legal support at all stages of obtaining an asset tracking license, including the preparation of necessary documents in accordance with the requirements of regulatory authorities.

About Asset Management License

In order to legally manage the assets of individuals, funds, or collective investments, as well as to manage investment accounts for clients, it is necessary to obtain the corresponding license. It is required for the implementation of various projects related to assets. Therefore, it can be obtained by:

  • corporate or unit investment funds (types of funds may vary depending on the requirements of government regulators);
  • asset management companies;
  • banks and insurance organizations;
  • brokers.

An asset management license allows the licensee to conduct professional activities for an agreed period, subject to certain conditions for generating profit. Legal support for investment managers and assistance in establishing companies managing assets are one of the main areas of activity of the SBSB Fintech Lawyers team. Contact us, and we will answer all your questions and prepare the necessary documents for you to obtain the license and be entitled to manage your customers’ funds!

Advantages of an asset management license

  • transparent legal activities in the provision of asset management services;
  • the licensee inspires trust among clients, and the permission to manage assets on a fiduciary basis indicates the professionalism, qualification, and reliability of the specialist;
  • the licensing procedure, with the successful acquisition of a license, involves compliance with the requirements of regulatory authorities;
  • investment funds under the guidance of professional experts bring clients high profits.

To make the licensing procedure as simple and fast as possible for clients, the SBSB team assists in preparing a package of documents, finding an office in the jurisdiction [if needed], opening bank accounts, and selecting certified personnel.

How to Obtain Asset Management Licence — List of Requirements

In each jurisdiction, the regulation of the activities of funds and management companies is the responsibility of different regulatory bodies, which accordingly affects the regulatory requirements and Asset Management industry licensing. But there are some common rules.

Procedure for creating asset management company

To obtain Asset Management regulatory approval, it is necessary to:

  • establish and register a legal entity in the chosen jurisdiction;
  • develop mechanisms for internal control and risk management;
  • prepare an investment strategy description specifying future types of activities and the organizational structure;
  • collect information about owners and accountants;
  • appoint directors and auditors (residency requirements depend on the chosen jurisdiction);
  • hire qualified personnel and directors with relevant work experience;
  • open a bank account and pay the authorized capital (the amount depends on the regulator’s requirements).

In various jurisdictions, there may also be requirements for the presence of local directors and an internal auditor or internal audit department in the company’s structure. Prescriptions regarding the physical office and the qualifications of personnel are possible. SBSB lawyers have successful experience in registering asset management companies and clients’ going through the licensing procedure in EEA countries (Czech Republic, Estonia) as well as in tax-heaven countries: Cayman, Cyprus, Comoros, Seychelles, Cayman Islands, and other jurisdictions.  We will provide you with qualified assistance in launching your project.

In each jurisdiction, the procedure for licensing for asset management differs, so we recommend that you seek help from qualified specialists. Thanks to a deep knowledge of the legislation of different countries and many years of experience working in different jurisdictions, the SBSB Fintech Lawyers team will provide you with expert advice and comprehensive legal support in creating and registering an asset management company.

Cost of License for Managing Financial Assets

You can learn the detailed price offer for your project after consulting with SBSB lawyers. We calculate the cost of each project individually, taking into account the features of the client’s business model, the requirements of the regulator in the chosen jurisdiction, the number of additional services, and other factors.

Contact SBSB Fintech Lawyers experts if you need asset manager license

Since 2013, SBSB has been providing comprehensive legal support for investment projects in a manner of turnkey solution covering all needs of the Client. Our experts will help you realize your business ideas and successfully launch your project anywhere in the world, solving organizational issues for you. We help you choose the optimal jurisdiction, prepare a package of documents, register a company, develop internal and external AML/CTF policies, and also provide other legal services to ensure regulatory compliance for Asset Management License.

Leave a request, and SBSB specialists will consult you on all relevant issues!

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Ivan Nevzorov

Head of Fintech Department

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