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Dealers Securities License in Vanuatu

Vanuatu is business-friendly which attracts not only Forex businesses but also fund management and investment institutions plus a wide range of professionals from the finance industry.

An EU brokerage with an EU license can simultaneously hold a Vanuatu licensed company which can act as a “market maker.

Timeframe 4-6 Months
Capital US$ 50,000
Nominee Service No
Bank service Bank service

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Investment Dealers in Securities License

From

US$ 20,200 Service Fees
  • In compliant with registered Vanuatu regulations
  • Fast, convenient and confidential
  • 24/7 support
  • Just order, we do all for you

Benefits of Vanuatu Dealers in Securities License

You can benefit from this license because it permits the holder to manage the portfolio of investments and to operate with securities (sell and buy) for the client or even on his behalf with all above products/Services.

  • A Vanuatu licensed firm may be offering bank-like services, Forex (FX) services and commodity trading & brokerage services

  • You do not need to travel to Vanuatu to conduct the application process;

  • A Vanuatu licensed firm can be accepting clients from all over the world

  • A Vanuatu licensed firm may be advertising its services & products in any way it might be deemed appropriate for it under the circumstances

General Requirements in Vanuatu

  • Company structure

  • Only one shareholder (can also be a legal person, no nationality restriction or residency restrictions)
  • Only one director (only natural person, no nationality or residency restrictions)
  • AML Officer
  • Alternative AML officer
  • Requirements for Manager or director

Must meet the following provisions:

  • Must be only natural person
  • Shall normally reside for 6 months within each year in Vanuatu
  • Must have at least 5 years’ experience dealing in securities and is competent to meet the obligation of a licensee as required by VFSC
  • Confidentiality

  • Beneficial owners' details – Not part of public record
  • Shareholders' details – Not part of public record
  • Directors' details –Not part of public record
  • Taxation

  • 0% - For 20 years Vanuatu Forex brokerage companies are exempt from the Vanuatu local taxes on income derived outside of Vanuatu
  • Accounting and Audit requirements

The financial statement must be prepared by an independent auditor and submitted 3 months after the anniversary date in accordance with the International Accounting Standard or other standard in agreement with the Commissioner.

The licensee must obtain the approval of the Commissioner prior to engaging an independent auditor.

The Commissioner may object to any engagement of an independent auditor if the Commissioner is satisfied that the proposed auditor is not suitable having regards to:

  • The nature of the business carried on by the licensee; and
  • The qualification, competence and integrity of the auditor

A licensee shall submit to the Commissioner quarterly and annual reports outlining updated details which must include:

  • Number of investors and amount of funds invested
  • Number of products offered to investors detailing the number of each product offered
  • Details on what jurisdiction the product was offered
  • Details of vetting process of investors and criteria used
  • Number of refusals and reasons for refusal
  • Updated information on registered agent and office details
  • Updated information on shareholders and beneficial owners
  • Report of any complaints received from investors
  • Registered Agent - Required

Physical premise

The company must operate from a physical premise located in Vanuatu, which maintains the following systems:

  • A filing systems;
  • A management and accounting system;
  • A business continuity system;
  • A software system and server*

*As a kind reminder, this does not allow the Licensees incorporated as an International Company to operate activities in Vanuatu. An International company cannot sale any products or services within Vanuatu.

Insurance / Professional indemnity cover

A license must have adequate insurance cover, including professional indemnity insurance indemnity for partners and employees, former partners and employees, and consultants, to serve as a protection for the investor’s funds in the event of financial loss. Professional Indemnity Cover is a general professional insurance linked to the activity of the company and covering the company. Professional Indemnity cover is a separate document that must be produced. The minimum insurance cover for each licensee is VT 5.000.000 for each claim with an aggregate cover of not less than VT 50.000.000 and a maximum deductible amount of VT 500.000.

  • Company name

  • Language: Any
  • Letters: Any
  • Company name must end with such sufixes or their abbreviations: Limited, Corporation, Incorporated, Societe Anonyme, Sociedad Anonima, Sendirian Berhad, Societe a Responsabilite Limitee, Besloten Vennootschap, Gesellschaft mit beschrankter Haftung. An International Company may utilise a broad range of internationally accepted abbreviated words as suffixes to denote their limited liability
  • Names Requiring Consent or a Licence: Bank, buildings society, insurance, assurance, reinsurance, fund management, investment fund, trust, trustees, finance

N.B.

  • Restricted connections for company name: name of state, national or local government
  • Any name that implies illegal activity or implies royal or government patronage is restricted
  • Registrar may reject any name which it considers undesirable or contrary to the public interest
  • Company name is restricted to be identical or similar that of an existing company
  • In case when foreign language is used for company name the translation must be provided to Registrar which will ensure conformity to above listed restrictions
  • Procedures

  • Registration of a Vanuatu company
  • Preparation of all necessary documents for VFSC and submission of the documents
  • Drafting of Anti-money laundering procedures and Business Plan for the Company
  • Finalizing the steps with the VFSC for the receipt of the license
  • Account opening for operational purposes

Applicant requirement in Vanuatu

Anyone can apply Dealers in Securities License at Vanuatu with the following managerial basic conditions

  • Must be only natural person
  • Shall normally reside for 6 months within each year in Vanuatu
  • Must have at least 5 years’ experience dealing in securities and is competent to meet the obligation of a licensee as required by VFSC
Applicant requirement in Vanuatu

Scope of Vanuatu Dealers in Securities License provided

The Financial Institutions Act regulates companies carrying on the business of amongst other things –

  • This license allows you to trade forex and commodities, buy, sell, trade securities such as shares, bonds, options, etc., and manage a portfolio of investments for and on behalf of your clients.
  • This license can be useful for investment/fund management institutions such as brokerage firms, mutual or hedge funds, etc., who may have clients wishing to invest in securities that may not be permissible or must comply with onerous and costly compliance of their resident jurisdiction.
  • Such investments can be done through an entity incorporated in Vanuatu licensed to carry on Securities dealing business thereby bypassing these constraints legally.
Scope of Vanuatu Dealers in Securities License provided

Documents Required in Vanuatu

For bank

(Each beneficial owner, shareholder, director, authorised signatory and secretary must provide)

  • A notarized copy of valid passport
  • A copy of proof of residential address (ex. utility bill that is not older than 3 months)
  • Bank statement for the last 3 months
  • A notarized copy of Letter of Reference form Bank, Attorney or Accountant

For local regulatory authority

(Each beneficial owner, shareholder, director, authorised signatory and secretary must provide)

  • CV of the director / shareholder dated and signed, showing at least 5 years on related experience in fund management securities and investment
  • A notarized copy of valid passport (an English translation of the certification)
  • A notarized copy of proof of residential address (ex. utility bill that is not older than 3 months) (an English translation of the certification)
  • Independent references confirming CV and showing at least 5 years on related experience in fund management securities and investment (x2)
  • Criminal record from the native country of the applicant and notarized translation of it into English (if needed)
  • Notarized copies of university Diplomas in English, certified transcripts
  • A second ID of the shareholder(s) / director(s)
  • Professional letter / bank reference on director / shareholder (x2)
  • Bank statement proving the source of funds

For AML Officer

  • CV of the director/shareholder dated and signed
  • Notarized/certified copy of passport (an English translation of the certification)
  • Notarized/certified utility bill in English
  • Professional letter / bank reference on director / shareholder (x2)
  • Notarized copy of a University Diploma in English
  • Criminal record from the native country of the applicant and notarized translation of it into English (if needed)
  • A second ID of the shareholder(s) / director(s)

N.B.

  • If documents are not in the English language or language of a particular country, then they must be accompanied by a notarized translation.
  • Please ensure that notarization is in English language if not then please provide with notarized English translation.
  • Please ensure that notarization is in the English language if not then please provide with notarized English translation.

Additional documents may be requested by the regulatory authority or local Bank at any point to certify specific information.

Documents Required in Vanuatu

 

FAQs

FAQs

1. What is the benefit of Foreign Exchange Business License in Vanuatu?

With Foreign Exchange License in Vanuatu, Businesses can be accepted by all clients in the world. Moreover, businesses can be advertising their services & products in any way it might be deemed appropriate for it under the circumstances

2. Why Vanuatu Foreign Exchange business License

Some key characteristics of the Vanuatu Foreign exchange Business License include but are not limited to the very low costs compared to most regulated jurisdictions, the recognition it receives on an international level for its efforts in combating money laundering (important if later the broker will apply for a license with another jurisdiction), the swift adaptation in controlling and supervising uninterrupted relative to the increase in demand for its forex licenses, the favorable tax conditions (no tax on profit or capital gains).

If you have an Institutional business as a network and operate through a forex IB or White Label program, jurisdictions like Vanuatu are a great option to start your own brokerage, before moving forward into more complex and expensive alternatives. Unlike working unregulated, Vanuatu will provide comfort to your clients who need a regulated broker to support their trading needs.

3. What are the documents required for the Foreign Exchange Business License in Vanuatu?

Businesses will need this list of the document below:

  • Each beneficial owner, shareholder, director, authorized signatory and secretary must provide
  • CV of the director/shareholder dated and signed, showing at least 5 years on related experience in fund management securities and investment
  • A notarized copy of a valid passport (an English translation of the certification)
  • A notarized copy of proof of residential address (ex. utility bill that is not older than 3 months) (an English translation of the certification)
  • Independent references confirming CV and showing at least 5 years on related experience in fund management securities and investment (x2)
  • Criminal record from the native country of the applicant and notarized translation of it into English (if needed)
  • Notarized copies of university Diplomas in English, certified transcripts
  • A second ID of the shareholder(s) / director(s)
  • Professional letter / bank reference on director / shareholder (x2)
  • Bank statement proving the source of funds

Businesses also need the document for Account Opening and AML officer (Detail in the document required tab)

4. How long do I need to obtain Foreign Exchange Business License in Vanuatu?

From 4-6 Months

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