BROKER-DEALER FORMATION

The Cayman Islands have been ranked as a major financial center for over twenty years and remain the preferred choice of jurisdiction for most hedge funds, banks, and institutional investors. If you are an experienced trader, investment advisor or asset manager then starting an investment management broker-dealer in the Cayman Islands may be an opportunity to consider.

CAYMAN LAWS AND REGULATIONS

The Securities Investment Business Law (“SIBL”) governs the conduct of securities investment business in the Cayman Islands and establishes a regime for entities that wish to conduct securities investment business in the Cayman Islands. The Cayman Islands Monetary Authority (“CIMA”) supervises the industry in the Cayman Islands and is responsible for administering the regime. A Cayman Islands exempted company is prohibited to carry on or purport to carry on securities investment business unless that company holds a license granted under SIBL or is exempt from holding a license. A company specified in Schedule 4 of SIBL does not require a license to conduct securities investment business. These companies are categorized as “Registered Persons.” There are also no minimum equity capitalization requirements for a Registered Cayman Islands securities investment business (i.e. broker-dealer).

INVESTMENT MANAGEMENT AND SECURITIES BROKERAGE SERVICES

The following is a shortlist of activities which may be carried out in your securities investment business (Investment Management - Broker-Dealer):

· Dealing in securities 

· Arranging deals in securities. 

· Managing securities 

· Advising on securities

Our turn-key solution to set up an investment advisory broker-dealer in the Cayman Islands allows you to offer the best available trading technology for accessing financial markets as well as: - Direct market access to trade and execute stocks, options, futures, forex, bonds, ETFs, new issue structured notes and CFDs. - Access to a single trading environment to execute orders, manage risk, cross-margin, and mark-to-market in real-time.+ As a fully compliant global investment management broker-dealer (registered with the Cayman Islands Monetary Authority - "CIMA"), you will be able to accept accounts from high net-worth/sophisticated citizens or residents of all countries except citizens or residents of those countries that have regulatory restrictions or that are on the sanction list of the US Office of Foreign Asset Controls. 

Our turn-key solution to set up an investment management broker-dealer in the Cayman Islands allows you to offer the best available trading technology for accessing financial markets.