Registration & Licensing

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Registration & Licensing

Company Licensing and Registration

AFCC's protects investors by investigating and prosecuting violations of the securities laws; licensing broker-dealers, agents, investment advisers, and investment adviser representatives; and reviewing registration statements and exemption filings for securities issuers.

Whether you are registering with the SEC or with individual state regulators, our team will work one-on-one with you to understand how you intend to operate your new RIA firm from the day you become registered. We provide you with all the necessary advisory documents to hit the ground running on the day you become registered.

State registration services for RIA and independent advising firms.
Federal registration services for RIA and independent advising firms.
Hybrid and turnkey investment advisor registration services.

Are you prepared for the Cyber Revolution?

We Are Investigators, First and Foremost

A large part of our work is to implement, supervise and enforce international standards and regulations in the securities market.

The AFCC's Licensing Unit regulates the license, certification or registration of broker-dealers, agents, investment advisers, and investment adviser representatives.

We work to achieve effective, proportionate and consistent European and international standards in relation to issues within our remit. These issues include conduct, investors protection, market integrity, competition and relevant prudential issues. We devote significant time and resources to international engagement, to the work of global standard setters and other global bodies.

Protect Financial Markets

We protect and enhance the integrity of the financial system

Promote Competition

We promote effective competition in the interests of consumers.

Protect Invesrtors

We secure an appropriate degree of protection for invesrtors