ATRIUM LEGAL LAB LTD

The Experts for your Regulated
Financial Entity


  • Cryptocurrency
    Exchange
  • Estonia
    Cryptocurrency
    Exchange
  • Estonia, a new European Crypto Market -
    Starting a Crypto Currency Company in Estonia with Exchange and Wallet Service Provider License

    Key points for Cryptocurrency Company structure

    Expected Timeframe

  • Isle of Man
    Cryptocurrency
    Exchange & Trade
  • Regulatory Oversight as a means of Attracting Business

    Designated Business Registration Policy IOMFSA Changes – 5th October 2018

    How long will an Application take?

  • Ireland
    Cryptocurrency
    Company
  • Open a Cryptocurrency Company in Ireland

    Why Register a Bitcoin Company in Ireland?

    Cryptocurrency Regulation 2019 Taxation

    Anti-Money Laundering Requirements

    Ownership and Licensing Requirements

    Passporting Rights

  • New Zealand
    Cryptocurrency Trade and
    Initial Coin Offering (ICO)
  • New Guidance on Cryptocurrencies and Initial Coin Offering (ICO)

    Exchanges, Wallets, Broking
    Registration and other Obligations

    Initial Coin Offering (ICO)

    ICO Regulation
    Types of Financial Product
    Tokens that are not Financial Products

    Other Obligations
    Fair Dealing and Initial Coin Offers

    FMA Services

  • Foreign Exchange(FX)
    Securities Dealer
    License
  • Cyprus Brokerage Services
    Forex Trading License
  • Cyprus Investment Firm (CIF)
    Why Cyprus?

    Cyprus Strategic Advantages

    Cyprus Investment Firm (CIF) License
    Initial Capital Requirements

    Conditions for the Granting of a License

  • Mauritius
    Investment Dealer
    Broker License 
  • Business activities

    Capital requirements

    Application requirements

    Information and Documents required

  • Seychelles
    Securities Dealers License,
    Forex
  • Seychelles Advantages

    Applying for a Securities Dealers License

    Capital Requirement

    Financial Dealers Licensing Amendments

    Transitional Provisions

  • Vanuatu
    Securities Dealers
    Forex
  • Vanuatu FX Regulation

    List of Securities Covered by
    The Dealer in Securities License

    Key Requirements
    Vanuatu Securities Brokerage Dealer License

    Why Vanuatu Forex License

    How Atrium Legal Lab Can Help You

  • E-Money
    Payment Services
    Institutions (EMI - PSP)
  • Mauritius Investment Dealer &
    Broker License
  • Mauritius Advantagese

    Mauritius Investment Dealer
    Licenses available

  • New Zealand
    Financial Services Providers
    FSP
  • Advantages to be Licensed in New Zealand
    As a Financial Services Provider (FSP)

    NZ FSP Registration
    Who needs to be licensed?

    New FMA Role

    New Zealand FSP Registration
    What you need to Obtain FSP Registration

    NZ FSP Registration
    Timeframe to Complete this process

  • Financial Holding &
    Private Asset
    Management
  • BVI Hedge Funds
  • Funds in the British Virgin Islands
    Fund Structuring

    British Virgin Islands
    Registration of an Investment Fund

    BVI Incubator and Approved Fund

    BVI Hedge (Incubator) Funds
    Limited Functionary Requirements

  • Luxembourg
    Private Asset Management
    Company (SPF)
  • Luxembourg Private Asset Management Company (SPF) - The Concept

    Permitted and Prohibited Activities of a Luxembourg SPF

    Luxembourg SPF
    Capital Requirement and Supervision

    Luxembourg Private Asset Management (SPF)
    Advantages

  • Luxembourg
    Holding & Finance Company
    SOPARFI
  • Luxembourg SOPARFI (Société de Participations Financières) - The Concept

    Why Luxembourg?

    Luxembourg Holding (SOPARFI)
    Advantages

Mauritius Investment Dealer Broker License

With leverage restrictions on the rise throughout Europe and
Major regulatory changes underway in Australia,
Both established and new Forex Brokers
are drawing their attention to Mauritius.

Mauritius Securities Dealer License
Greater flexibility in leverage
Competitive capital requirements, and
Tax optimization

Are just a few reasons Mauritius has grown in popularity
over the past few years.

If you are interested in applying for a Forex Broker License
In Mauritius

Atrium Legal Lab has the necessary experience and industry
knowledge to help you along each step of the process

Mauritius Securities Dealer License - Investment Dealer (Full-Service Dealer excluding Underwriting) is authorised to conduct the following activities:

(i) act as an intermediary in the execution of securities transactions for clients;
(ii) trade in securities as principal with the intention of reselling these securities to the public;
(iii) give investment advice which is ancillary to the normal course of his business activities; and
(iv) manage portfolios of clients.

Minimum Capital requirement:

Excluding Underwriting – Company all times to show minimum capital requirement at least
MUR 1,000,000 equivalent to approx. USD27,000

Broker Dealer License Requirements

Corporate vehicle permitted: Category 1 Global Business Company
Local physical office: Yes, office premises in Mauritius
Capital requirement: Each category of Investment Dealer needs to have a minimum capital.
Directors & Shareholders: Min 2 resident directors with board meetings held in Mauritius; Min 1 shareholder, no nationality restrictions
Regulating Authority: Mauritius Financial Services Commission (FSA)
Service Providers Required: Yes
Time Frame: 2-3 months
Financial Statements Filing: All categories are required to file audited financial statements within 6 months of financial year end.
Staff Qualification: Staff employed must have relevant experience and qualification as required under the Securities Act Minimum Capital Required
Accounting requirements: Quarterly should be done from Mauritius, local auditor is a must
Tax Treatment: The Mauritius GBC1 is set up under the Companies Act 2001 and licensed under the Financial Services Act 2007 - so a 3% tax will apply to your business what is very low compared to FX entities to be registered in Europe or South East Asia. A Mauritius GBC1 is considered as a Mauritius tax resident company (and therefore have access to the double tax treaties of Mauritius) if its management and control is exercised from Mauritius (what we will arrange in our setup package).

Information and Documents required for
Application as Investment Dealer Broker
Securities Dealer License
  1. Company Application Form to be filled and signed
  2. Organisational/structure chart showing board of directors, shareholders, list of senior persons (compliance officer, Money Laundering Reporting Officer and deputy) and other officers who will be responsible for the day to day operations;
  3. Business plan with 3-year projections giving details of proposed activities, types of customers, products and services to be offered (brokerage, CIS securities, underwriting, etc.);
  4. Draft agreements to be entered into with a Securities/ Commodities Exchange and agreements with Clients;
  5. Draft brokerage agreement to be entered into with clients
  6. An Internal Procedures Manual;
  7. An Anti-Money Laundering & Compliance Procedures Manual;
  8. Details of proposed membership with an Exchange, clearing and settlement facility, etc;
  9. Details of procedures and systems to prevent conflicts of interest, terrorism and money laundering;
  10. Confirmation Letter that the Investment Dealer will maintain the minimum capital required and will not start operation until this is paid in a bank account.
  11. An indication as from where the company intends to operate;
  12. Indication of the profile and location of the target clients of the company;
  13. Details of the modus operandi of the company (mode of operation);
  14. Confirmation whether the company will have a trading platform and details thereof;
  15. Due diligence documents on directors, shareholders, all officers, beneficial owners, etc. as per below:

Passports
Bank reference Letter
Curriculum Vitae (duly signed)
Personal Questionnaire
Proof of address

Atrium Legal Lab Advantage

End to end comprehensive service
Speedy and efficient service
Expert advice on structuring options
Dedicated ongoing compliance support
Extensive network pool of service providers

Our Services to Investment Dealers

To permanently fulfil broker dealer license requirements, TBA is offering a full compliance package for your regulated entity to make sure that you will never disappoint the regulator, and all goes really according to the laws.

Besides all usual services as outlined below:

Advice and guidance on the procedures required to obtain the relevant license
Registration of a Global Business Company in Mauritius
Applying for full-service dealer or investment dealer License in Mauritius
Executive director and local director recruiting
Obtaining Mauritius license
Preparing of all required documents
Registered office address in Mauritius
Registered company secretary services
All original documents shipped to your address of choice
Our package includes all following ongoing services:

  • Administration Fees and Local Directors (2x)
  • Registered Office and Registered Agent
  • Accounting and Yearly Financial Statements, Taxation (quarterly and annual)
Our Fintech Practice

Our lawyers and financial services specialists at Atrium Legal Lab provide solutions to clients by combining the traditional legal fabric with new securities dealer license technologies.

If you would like more information how set up your Securities Dealer License in Mauritius, and/or services and costs included, we welcome you to get in touch with our Business Development Team – Contact Us Now!

Should you have an enquiry
You would like to discuss with us
You can either call or email us.

One of our Customer Representatives will be most pleased to help and assist you

Send us your message Now!
Legal disclaimer

The information and materials contained in this website do not constitute an offer, invitation, solicitation, advice or recommendation to buy the products and services offered and rendered by Atrium Legal Lab Ltd and shall be applied with prior consultation.

Atrium Legal Lab Ltd does not offer legal or tax advice without consultation with certified professionals with related appropriate skill and expertise.

The information contained in this website is for general guidance on matters of interest only and should not be considered as guidance for financial or tax decisions, or a substitute for specific professional consultation.

While we have made every effort to ensure that the information contained in this website is accurate and correct due to constant changes in laws, rules and regulations Atrium Legal Lab (BVI) Ltd accepts no liability for any loss or damage arising directly or indirectly from action taken or not taken relying on the information contained in this website. In particular no warranty is given as to the completeness, accuracy, reliability of such information and as to whether it is at all times up to date.

Atrium Legal Lab Ltd accepts no liability for any loss or damage direct or indirectly arising from the application of any information contained in this website, including any loss, damage or expenses arising from, but not limited to, any defect, error, mistake, inaccuracy, reliability of this website, its contents or related services, or due to any unavailability of this Site or any part thereof of any contents or related services.