What are the more influential foreign exchange licenses?

Advantages of American SEC RIA license

1. License plate is well known.

The SEC is the United States Financial and Securities Exchange Commission, which plays a leading role in the global financial market. Companies that want to list in the United States must obtain the permission of the SEC. In order to go public legally. (such as Jiasheng, Tiger Securities, JPMorgan Chase, Alibaba, JD.COM, CreditEase, etc.). ).

2. High media exposure

Due to the further fermentation of the recent Luckin Coffee incident, Tik Tok, Baidu, Tian Yan and Caijing all reported on the website, and all the reports showed the nearly strict supervision system of the US Securities and Exchange Commission. (Not only Luckin Coffee, but also well-known domestic companies listed in the United States can see the SEC, such as Alibaba, JD.COM, CreditEase, Iqiyi, etc.). All the news related to the SEC conveys the positive reports of the US SEC's protection of investors, fairness and strictness, and the global financial industry model. First of all, before packaging the platform, we need to determine the license requirements of the current market environment.

3. Less negative news

Almost all portals, financial websites and industry websites have no negative news about the SEC. SEC is the strictest, fairest and most reliable government financial institution in the world. So far, the SEC is one of the few government agencies without any scandals!

4. The license application period is short.

The shortest application period of SEC RIA license is only one month, and the average application period is 45 days, which meets the needs of most platforms to obtain compliance licenses as soon as possible.

5. The license fee is relatively low.

SEC RIA does not belong to onshore supervision, and there is no need to set up local offices or recruit local employees. Moreover, there is no STP and MM in the United States, and there is no need to pay a high deposit and service fee.

6. Good quality and simple packaging

The SEC is the Securities and Exchange Commission of the United States, which means that any enterprise listed in the United States must obtain the permission of the SEC to go public. The gold content is naturally unmatched by all current licenses. All listed companies have this golden signboard, and the feasibility of packaging is self-evident!

SEC RIA is a financial investment consultant license issued by the US Securities and Exchange Commission. A company with this license can "buy any products related to finance and securities on behalf of customers, or provide any services related to finance and securities to customers", and can provide any services related to finance with special permission. Companies can only be allowed to provide any investment-related services in the United States after obtaining the SEC RIA license, and most investment companies listed in the United States must obtain the SEC RIA license! !

Brief introduction of the securities and exchange commission of the United States

SEC (Securities and Exchange Commission) is an independent quasi-judicial institution directly under the United States Federation, which is responsible for the supervision and management of American securities, and is the highest institution of American finance and securities industry. The US Securities and Exchange Commission (SEC) has quasi-legislative power, quasi-judicial power and independent law enforcement power, which is equivalent to the highest department of the financial judiciary independent of the US Congress. It is the highest standard financial sector in the United States and even in the world.

SEC is a judicial supervision license that all companies listed in the United States must obtain. For example, large-scale foreign exchange trading platforms listed in the United States, such as Jiasheng and Tiger Securities, must obtain authorization from the SEC at the beginning of listing, and need to report a series of company-related statements such as financial status, company information and customer details on the SEC on a regular basis.

Since its establishment, SEC has been adhering to the image of a strict and upright government department. High-standard supervision has brought extreme trust to the terminal market, making customers more willing to choose to invest in enterprises authorized by this license supervision. Terminal overseas customers prefer to choose large enterprises with strict supervision. SEC RIA is the most cost-effective and most famous financial license in the foreign exchange margin market at present.

The SEC's approval of RIA is quite strict, and fund managers need to pass the investment consultant exam of Series65 (CFA and PFS licenses can be exempted). On this basis, it still needs to manage more than $654.38+billion in assets before it can be registered with the SEC (the assets registered by asset management companies in this state range from $25 million to $654.38+billion). On the other hand, the SEC's supervision of RIA is also very strict, requiring registered investment consultants to safeguard the interests of customers and not to deceive customers by improper means. First of all, we should maintain integrity with customers, make information disclosure completely open, and provide appropriate investment advice selflessly.

Secondly, the management of assets needs to go through a third-party organization, and the use of each sum needs to be notified and recognized by customers. This "fiduciary responsibility" is an operating rule imposed on registered investment consultants according to relevant laws, so the interests of clients will be effectively protected. In addition, the SEC will regularly supervise and inspect RIA. Mainly focus on the risk supervision of portfolio valuation, performance and asset audit; To supervise the legality of providing effective compliance policies and procedures; And publish the inspection results. It is through so many strict audits and supervision that overseas investment institutions can obtain RIA licenses. Therefore, for domestic investment institutions that have obtained this qualification, the investment professionalism and reliability of the platform are obvious.

RIA license is a necessary license for foreign exchange platforms and investment companies to attract investors. With the change of science and technology in the world, RIA will also be an important license for its legal compliance. As a financial authorization solution for many years, Dayuan Technology will provide customized, professional and personalized RIA authorization solutions for platforms and institutions with an efficient, professional and dedicated service team. Dayuan Technology, which focuses on service, will solve all regulatory and compliance problems for you, make you more focused on serving customers, gain their trust, and make you a leading international investment institution. Dayuan Technology has reason to believe that more blockchain enterprises, digital currency enterprises and foreign exchange enterprises will actively lay out ecological construction, operate community relations, actively complete RIA license review and accept supervision, and develop their business.

How to apply for the US SEC?

To apply for a license, the following materials shall be submitted:

1. Power of attorney for license handling-Power of attorney for the license handling authorized by the directors of the license application company.

2. License registration

-American company registration certificate

-Articles of Association

-Director's passport

3. Company business description report

4. System archiving

-Fill in the permit application report.

-Fill in the SEC questionnaire report.

-assist in completing the SEC RIA exam.